Risk and Compliance Officer

Robert Walters
16 Apr 2017
16 May 2017
Contract Type
Full Time

A Risk and Compliance Officer is sought to join a full service law firm based in Rugby, Warwickshire on a permanent basis. The Risk and Compliance Officer will play a key role within the Finance and Risk Practice Area of the firm and will report directly into the Head of Finance and Risk.

The successfully appointed Risk and Compliance Officer will have prior Risk and Compliance experience ideally gained within the legal sector and will assist with the management of the firms risk and compliance procedures whilst ensuring regulatory and corporate risks are managed and controlled effectively.

Key Responsibilities

  • manage the complaints procedure, establishing accountability and ensuring effective resolution
  • Liaise directly with external risk and compliance consultants
  • Coordinate and deal with insurance queries, notifications and claims
  • Undertake work that is complex in nature
  • Participate in risk and compliance reporting
  • Support the day to day operational needs of the legal team
  • Prepare and submit Suspicious Activity Reports accordingly
  • Maintain accurate and up to date records, policies and procedures

Key Requirements, Skills and Experience

  • Experience of risk and compliance within a legal environment
  • Experience and understating of the Solicitors Regulation Authority Code of Conduct
  • Ability to maintain high levels of accuracy
  • Manager own workload, prioritising and adapting to an ever changing mix of work
  • Must possess a genuine desire for continuous improvement and transforming the way the firm operates

The role is predominantly based out of the Rugby office but will occasionally require travel to the firms other branches.

For more information or to apply, please contact Laura Woodhead at