We are currently recruiting for a Risk and Best Practice Assistant to join our Bath office. You will assist the Risk and Best Practice team in the provision of professional, efficient, and high quality first-tier assistance with risk and compliance queries to the firm and external parties.
Duties will include:
Be the first point of contact for queries in relation to the department’s policies and procedures, escalating where appropriate
Review and respond to first line GDPR data breaches, liaising with the relevant staff. Where appropriate forwarding complex matters to the Risk and Best Practice Lawyer
Review and respond to AML queries, escalating to the AML Manager where appropriate
Provision of first-tier guidance on client onboarding queries, including initial analysis of e-verification search issues and analysis of PEP and Sanctions matches
Provide support to staff on the e-verification and client management system
Maintain and generate reports on the department’s risk and compliance registers, including but not limited to: complaints and claims; compliance breaches; anti-money laundering registers and training records
Monitoring of updates to the sanctions regime by the government and OFSI, checking the details against our database and informing the staff of the updates
Undertake file audits to determine compliance with our policies
Assistance with the identification of key policies, documents, or correspondence
Renewal and collation of the department’s certificates and registrations including ICO registrations and insurance certificates
Support the annual SRA Practising Certificate Renewals, assisting HR with provision of risk data
Provide administrative support for external audits, including those relating to Lexcel, CQS, AML audits and the Legal Aid Agency
Manage the Risk and Best Practice team’s diaries and ensure key dates and deadlines are recorded. Responsible for scheduling and minuting meetings and chasing up actions
Provide support to the other members of the Risk and Best Practice team, including the creation of bundles to support analysis of claims and complaints or to assist with investigations
Creation of correspondence and training materials
Manage and maintain the Risk and Best Practice Team’s intranet pages
Monitor SRA/Law Society/ICO websites for updates
Developing and delivering induction training to new starters
Support the team with other administrative duties and projects as required
Carry out any other ad-hoc duties as requested
Skills, Experience and Attributes
Previous experience within a legal environment is desirable
Excellent organisation skills with the ability to prioritise effectively and meet tight deadlines
Some knowledge of risk and compliance subjects relevant to a law firm, for example, anti-money laundering and/or data protection
Team player – actively participates as a member of a team
Develops and maintains relationships with others
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