Risk & Compliance Advisor

Location
England, Wiltshire, Salisbury
Salary
£35000 - £45000 per annum
Posted
12 Jun 2024
Closes
10 Jul 2024
Ref
SAC-PL-15971
Contact
Jameson Legal
Practice Area
Compliance, Regulatory
PQE Level
2-4
Contract Type
Permanent
Hours
Full Time

This is an excellent opportunity to work closely with a law firm's Director of Best Practice, advising on how to best manage risk and compliance and support the firm's ability to achieve this. The role is with a growing legal 500 firm and will be based in their Wiltshire office, providing support to offices across the UK. The successful candidate should have experience dealing with regulatory and compliance matters, be familiar with the Solicitors Regulation Authority (SRA) as a regulator and their codes of conduct, and have experience in a compliance-focused role at a law firm.

Job Responsibilities:

  • Providing advice and guidance on internal regulatory queries and supporting the Risk & Best Practice team with onboarding queries.
  • Being a primary reference point on compliance and related risk queries including on the Codes of Conduct (including client care, conflicts, confidentiality and information barriers), financial crime (particularly anti-bribery, and AML including sanctions and high-risk third country due diligence), limiting liability and professional negligence.
  • Being responsible for managing the firm's claims and complaints register and producing regular reports on appropriate steps to take.
  • Drafting, amending, implementing and ensuring consistent adherence to the firm's risk and compliance policies and procedures in line with the SRA regulations.
  • Supporting the processing of complaints and claims.
  • Conducting regulatory review and internal audit including reporting and any follow-up.
  • Designing and Providing training internal regulatory training to new joiners and fee earners.

Key Experience:

  • Experience dealing with SRA, AML and GDPR regulation is essential.
  • England and Wales solicitor qualification is beneficial

For a confidential chat about this or other roles we are handling, please contact Solomon Cairns.

Please note that where a level of preferred experience or qualification is indicated, this is a guideline only and does not preclude applications from candidates with more or less experience.

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.


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