Compliance Assistant

Key Personnel Management Ltd
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

JOB PURPOSE: To provide an efficient and effective high level administrative support within the department, to undertake a wide range of projects in support of the Compliance Manager (CM) and to develop the role.


To assist with the maintenance and administrative aspects of the Compliance Department activities including:

  • Management System maintenance
  • Compliance system maintenance
  • ISO 9001 approval maintenance
  • Document Control
  • Records and Registers administration and maintenance
  • Induction
  • Technical Review
  • Client Complaints
  • Laserform system.

To produce reports at defined intervals associated with the department’s activities as directed by the Compliance Manager and required by the firm’s Management Information.

To actively participate and assist with the development of the department’s systems and processes and those of the firm as they relate to Compliance.

To liaise with Compliance Manager, Managing Partner/COLP, Operations Director and departmental functional representatives for Compliance

To liaise with ISO assessment body (LRQA)

To set up Management System induction training sessions and deal with associated administration

To monitor closure of non-compliances and carry out internal audits as required by the CM and specifically the bi-monthly Technical Review and monthly CDD audits

To attend all relevant meetings as required by the Compliance Manager

To deal with Compliance and other associated enquiries from staff and external organisations

To undertake project work


Excellent word processing skills and experience of producing and maintaining Excel spreadsheets

Good administrative and organisational skills.

Ability to plan, prioritise and cope under pressure with a heavy workload

Experience of updating and maintenance of systems and procedures

Experience of Quality (systems, standards), including basic auditing

Graduate calibre ideally in a business related subject.

Compliance and/or management systems experience in a professional services environment (e.g. LEXCEL, ISO, or working to a standard).

Understanding of the legal profession and its regulatory environment

Knowledge/experience of using databases for analysis and report writing

Good written and verbal communication skills



Strong interpersonal skills - able to be assertive when needed and to influence others

Conscientious and methodical with good attention to detail

Self motivated with an ability to use initiative to solve problems

Ability to prioritise work load and to anticipate and meet deadlines

Service oriented with an understanding of office procedures and etiquette

Confident user of Word and Excel. Ideally have some knowledge of Powerpoint and Databases

Must be willing to work outside normal working hours on occasion to assist with departmental activities

Must drive and be willing to use own car on firm’s business for which a mileage allowance will be paid

Proof reading skills and adherence to Management System style as directed by CM

  • CV in word format please

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