Risk and Compliance Officer

Well established Legal firm seeks a suitable Risk & Compliance Officer with 2 to 5 years experience in a law firm or professional services.

The role will suit someone who is proactive, with a can do attitude, an all rounder who can hit the ground running.

ROLE

• Client onboarding.
• AML/SAR analysing documentation and reporting back to the MLRO.
• Assisting with any and all source of funds and source of wealth investigations, reviewing and documenting findings/questions.
• Credas/EIDV admin for the ID portals, ensuring that everyone has the relevant access, guidance and support when using the portals.
• Any and all ongoing monitoring alerts regarding PEPS and Sanctions.
• Complaints confidently handling complaints, investigating and dealing with the firms response to the complainant.
• Accreditation & Audits dealing with regulatory audit experience is necessary. Ensuring all documents are compiled and ready for audit by the relevant auditor.
• Policy updates.
• Manage the Risk email inbox responding to and assisting with responses to the risk emails.
• Researching new or planned changes suggested by SRA/Law Society/authorising bodies.
• Ensuring updated Sanctions lists are forwarded as and when received.
• Undertakings logging new undertakings onto the system and ensuring that these are monitored and updated at regular intervals.
• Price transparency checking all is up to date with the HOD and amending where needed.
• CQS annually assisting HOD of residential with CQS accreditation, booking and monitoring of all training to ensure that we are compliant with CQS.
• General risk admin duties.

REQUIREMENTS

• Ability to comfortably speak to people of varying degrees of seniority.
• 2-5 years experience in a law firm or professional services.
• Skilled with GDPR considerations.

MORE INFO

• Fully office based
• Monday Friday 9am 5pm