Summary of role
The main objectives of the role are to assist the Risk and Compliance team, in
particular the COLP and Deputy COLP in:
* Handling internal enquiries in relation to the SRA Code of Conduct
including, for example, advising on conflicts of interests, Solicitors
Accounts Rule 3.3, insurance distribution and general ethical concerns
* Handling internal enquiries in relation to other relevant regulation
including, for example, FSMA.
* Assisting with international compliance and regulatory requirements
* Providing internal advice as to complaints handling and handling
complaints when escalated, dealing with external clients as appropriate
* Responding to Data Subject Access Requests
* Maintaining records of data breaches and complaints and analysing that
data alongside that produced by the firm s file review and audit
procedures, recommending and implementing improvements as necessary
* Preparing reports for the firm s risk committee and management board
The role requires a proactive approach not only to the development of
processes, procedures, rules and mechanisms for identifying and managing risk
and ensuring compliance, but also to promote them within the firm. The firm
envisages an approach of education and persuasion and which promotes best
practice through a process of influencing the key stakeholders and staff.
The role will require close working with internal fee earning and central
teams, as well as engagement with external agencies such as the SRA, Legal
Ombudsman, FCA and ICO.
The role does not include responsibility for AML and financial crime aspects,
for which the firm will have a separate KYC and Financial Crime Lawyer role.
Internal compliance enquiries
* Responding to internal enquiries from fee earning and central teams
relating to compliance, risk management, client due diligence
requirements and the firm s procedures
* Dealing with enquiries from clients and external agencies
* Reviewing results of conflict checks and making recommendations
* Assisting the Data Protection Officer with the recording of and response
to any departure from compliance with GDPR and the Data Protection Act
and any request for data, in particular preparing responses to DSARs.
* Assisting in the handling of client complaints including reading files,
assessing complaints, preparing complaint responses and dealing with
clients and external agencies
* Advising internally on the operation of the firm s complaints procedu
* Assisting in maintaining the firm s complaints records in the Rilianc
risk management system
* Assisting in the analysis of causes of complaints and the identification
of training needs and changes to procedures required to address those
* Contributing as requested to the analysis of firm wide risks and the
preparation of reports on this to the Risk and Compliance Partner,
providing recommendations as required.
* Assisting other team members as requested in collating information on
risks associated with the firm s business and internal operations
Systems implementation and maintenance
* Assisting the team in encouraging best practice in the approach to risk,
and a culture of proper risk management and regulatory compliance
throughout the firm
* Contributing to the creation and implementation of a risk strategy, rules
and policies that are both effective and acceptable to those who are
asked to adopt them.
* Assisting others in the team and the wider firm in the maintenance of
various external accreditations and panel memberships.
* Assisting the team in devising and operating processes to promote and
check the firm s compliance and risk management, including the review
of potential and existing software solutions.
* Assisting the COLP and Deputy in the identification of required
improvements to existing arrangements to meet the firm s risk
management objectives and those created as a result of legislative
changes, regulatory requirements and best practice within the profession.
* Assisting the COLP and Deputy in the drafting of policies, procedures and
management board reports as requested in relation to risk avoidance and
with the implementation of new procedures as appropriate.
* Working with others in the team to create processes to streamline
necessary tasks such as conflict checking, client identification, client
acceptance, matter opening and establishing terms of engagement.
* Assisting with the maintenance of the firm s practice manual,
transition of this information to the intranet and keeping these sources
up to date to reflect regulatory and procedural changes.
* Collaborating with the internal audit team as appropriate in order to
address vulnerabilities they identify as a result of their audits and to
feed into the team s audit scope where there is a compliance or risk
management concern which needs to be quantified or understood.
* Collaborating with other central and fee earning teams where appropriate
to develop workable procedures and policies that meet the firm s
objectives whilst ensuring robust compliance and risk management.
* Advising as required on matters of professional conduct and ethics,
conflicts of interest and confidentiality.
* Assisting the firm to meet its obligation of cooperation and transparency
with its regulators, including the preparations required should the firm
be asked to answer to a regulator as part of an audit, investigation,
enquiry or otherwise.
* Assisting other teams to review and resolve compliance concerns in
relationships with external parties, including where appropriate the
review of supplier contracts and client s terms and conditions.
* Taking responsibility for own personal development in order to keep
skills and knowledge up to date, including attending any training as and
when required and staying abreast of changing legislation.
* Carry out any further duties as required by the Firm from time to time.
Essential and desirable criteria
* Applicants should ideally be qualified solicitors with up to three
years post-qualification experience although other applications will
be considered. Demonstrable risk management experience is not essential
but an interest in these topics is, along with a working knowledge of the
SRA Code of Conduct
* A strong team player who is persuasive, with highly developed
communication and influencing skills and the resilience to cope with
those who may need more encouragement than others.
* Excellent oral and written communication skills are essential, with the
ability to vary the approach to suit the target audience, which may
include the Management Board, individual staff members, external agencies
* Strong commercial awareness with the ability to demonstrate a strategic
approach to risk management and a willingness to challenge the status quo
and suggest change.
* Excellent organisational skills.
* High degree of self-motivation and a self-starting approach with a
passion for compliance, risk management and business improvement
* Academic ability to interpret rules and regulations coupled with a
practical and common sense approach to their application in the firm.
* Strong IT skills.
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