A new role within our Risk Management & Compliance Team. The role will involve auditing/oversight and management of various aspects of risk and compliance including our quality functions, compliance with the Code of Conduct, annual Lexcel accreditation and related projects, training and administration.
You will have responsibility for identifying, planning and undertaking audits to ensure that as a firm we are continuing to provide a high quality service to our clients and that we continue to meet our legal and regulatory obligations.
Based within an established team and reporting to the Head of Risk and Compliance, the key elements of your role will include:
- Coordinate and monitor our quality review system to ensure we meet our core obligations in areas such as file opening and closing procedures, terms of engagement, fees/costs, advice and communication with clients. You will ensure reviews are undertaken appropriately, analysing and reporting on review activity and highlighting areas of concern and improvement.
- Audits of GDPR and Anti Money Laundering (AML) compliance to ensure we meet our legal obligations, again analysing and reporting on activity and highlighting areas of concern and improvement
- Providing training across the firm, to include induction training for new joiners and additional training firm-wide and as required, as a result of any identified issues/training needs or as a result of any changes in practice or regulation
- Supporting the work to achieve annual accreditation against the Law Society’s legal practice quality mark, Lexcel.
- Maintain records of complaints received by the firm and ensure response deadlines are met.
- Ensure Standard Operating Procedures remain current and implement revisions as necessary
- Assisting the Head of Risk and Compliance with additional reporting, analysis, advice, administrative work, project work and other ad hoc responsibilities as required.
- You will need to keep abreast of any changes and developments in relevant regulations and accreditation processes and we will look to you to identify improvements in our auditing processes and advise us accordingly.
There will be times when you may need to raise issues directly with the partners, lawyers and other staff involved. You will need confidence, tact and perseverance to achieve your goals.
With your firm-wide responsibility, there will be an element of regular travel to our various regional offices, particularly for training delivery purposes. Typically this may occur twice a month. We can provide a pool car or cover the costs of train journeys as appropriate.
As part of a relatively small team, you may also need to assist others or work on additional tasks in line with the overall responsibilities of the Risk Management and Compliance function.
You will be someone who likes getting things done well and done right. Meticulous in your approach, you will balance a need for accuracy with a robust view of the bigger picture – identifying and prioritising tasks to meet the needs of the business while maintaining high ethical standards.
We are not looking for a rigid and pedantic stickler but you will be able to stand your ground when required. Generally, however you will have the judgement and flexibility to understand what is important and the influencing skills to bring about behavioural changes where required.
You will have strong organisational and management skills, with the ability to assimilate large amounts of data and spot themes and patterns. You should be good at presenting that data in accessible, plain English reports with supporting visual aids where appropriate.
Ideally you will have worked in a similar role before in a professional or financial services environment. Although previous experience within a law firm would be desirable it is not essential.