Compliance Officer

Recruiter
Clayton recruitment
Location
Staffordshire
Posted
09 Apr 2018
Closes
20 Apr 2018
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Our client, a well known professional practice, is seeking an experienced Compliance Officer to join them in order to ensure that the Firm and staff are fully compliant with all the regulatory and statutory obligations placed upon them.

Reporting to the MD, the position will involve:

Ensuring all requirements of risk and compliance are implemented, managed and addressed throughout the Firm
Assisting the MLRO, COLP & COFA in his daily duties
Leading and supporting the Firm and its staff towards the attainment of the Law Society Lexcel Quality Standard and the WIQS practice management standard
Providing a risk and compliance assistance and support service to the Firm and its staff
Assisting the Office Manager on an ad hoc basis
Maintaining and updating the Firm's risk and compliance central registers and files
Ensuring systems are in place for monitoring, reviewing and managing risks
Ensuring that all regulatory, statutory and other key Firm deadlines are met
Providing training and information to all staff on the SRA Code of Conduct and internal compliance
Providing risk and compliance progress reports to the Practice Management Team, and to staff when appropriate
Overseeing and maintaining internal policies and procedures to ensure they are compliant in accordance with SRA guidelines, UK Law and Lexcel
Undertaking research to ensure that any regulatory changes are implemented throughout the Firm and communicated to staff
Ensuring that the Firm and all staff adhere to SRA guidelines, and internal policies and procedures
First point of contact for responding to client complaints
Supporting the Firm in maintaining the CQS accreditation
Complying with any in-house or external training requirements of the firm
Engaging with and motivating staff in areas of risk and compliance

The successful candidate will demonstrate:

Substantial working knowledge of a legal office and experience of compliance obligations placed upon a Legal Firm
The ability to use a range of software, and excellent ICT skills including familiarity with Microsoft Office
The ability to motivate and engage with all staff
Personal commitment to quality and excellence
The ability to communicate with staff and third parties in a professional and proactive manner
An understanding of, and adherence to confidentiality

Clayton Group is acting as an Employment Agency in relation to this vacancy

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