Risk and Compliance Assistant Manager
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Risk and Compliance Assistant Manager
Competitive Salary + Benefits
Hybrid working 60/40
Full Time / Permanent
My client is a leading law firm of choice in the South East, which prides itself on delivering quality and value to clients through continuous innovation, robust risk and governance and a commitment to excellence. The firm is accredited with ISO quality standards and has an FCA licence.
With offices in Maidstone and Canterbury, it serves a broad range of clients from private individuals and their families and businesses, to SMEs, multinational corporations, educational establishments and other public sector organisations.
The main purpose of this role is to implement and support the firm’s regulatory, certificate and governance compliance and to provide recommendations to support the firm’s goals and objectives.
· Working with Risk and Compliance Director to ensure all SRA and FCA regulations are adhered to
· Assist in developing, implementing and coordinating the firm’s risk management strategy
· Support with the ISO environmental and quality assurance systems across the firm
· Ensure all systems, processes and documentation meet needs of clients
· Supervise team members
· Prepare and undertaker inductions for new staff members
Roles and responsibilities
· Enhance and maintain a culture of Risk Management supported by policies and guidance
· Assist the Risk and Compliance Director in their role and support the risk team members
· Maintain and update policies
· Ensure staff understand policies and receive training and assistance where needed
· To monitor registers e.g. risk, complaints, undertakings and actions identified through quarterly meetings with risk team representatives
· Undertake audits
· Oversee bulletins issued for Risk and AML
· Point of contact for GDPR queries and support DPO
· Support as required for the MLCO AND MRO
· Maintain knowledge of AML, SRA, FCA, ISO and share best practice
· Research legislation, government directives, contractual analysis and any other areas within the remit of quality and risk
· Ensure continual training in the Rules is provided to all new joiners, existing fee earners and office staff and to act as the internal reference point for interpreting and clarifying the Rules
· Support the environmental and quality assurance program (currently Law South Standard FCA, ISO 9001 and 14001)
· Ensure all systems (IT and paper) for holding and processing client data are compliant with prevailing legislation
· Ensure all work is carried out in accordance with any quality assurance system or service quality standards
· Monitor and evaluate performance against standards or agreed targets. Use audits, and corrective action to ensure continuous improvement. Prioritise and escalate issues resulting in non-compliance
· Report on the findings of monitoring and evaluation processes and make recommendations as appropriate
· Provide internal training on standards as required and support staff involved in annual assessments
· Assist with queries on processes
· Support with ISO27001 accreditation
Who we are looking for
The Risk and Compliance Assistant Manager will provide support across all teams and therefore we would expect them to be able to demonstrate their ability to engage with people to ensure the right results are achieved. Additionally, they will have the confidence, enthusiasm, and skillset to support the aims and goals of the firm as it moves forward with its ambitious business plans.
In particular we are looking for good organisational skills, the ability to problem solve, a decision-making aptitude and strong ethical standards with high levels of integrity.
Ideally, you would have worked in a lead role in risk and compliance within a professional services setting such as a law firm, financial services, banking or accountancy. A good understanding of the SRA handbook or the FCA handbook and AML would be essential to the role. It would be an advantage to have knowledge of ISO9001, ISO14001 and but this is not essential.
Interpersonnel are operating as an Employment Agency for our client for this particular role. By applying you give consent for your data to be handled and processed under GDPR Legislation for the purpose of your current employment search.
We are pleased to receive a significant number of applications for most roles advertised. We are therefore unable to respond to individual applicants unless shortlisted. If you have not been contacted within four weeks of the closing date you should assume you have not been shortlisted on this occasion.
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