Risk and Compliance Manager

Charles Levick
London, UK
Closing date
1 Oct 2020

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Contract Type
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Risk and Compliance Manager - Legal Practice

The successful candidate will have recent experience in a top 500 law firm, with a good knowledge of SRA requirements and the regulatory framework.

The role is likely to include assisting with some or all of the following activities:

* Performing Client Due Diligence, including adverse media screening
* Developing and delivering training, including induction training for new joiners
* Assisting Partners and staff with operational issues arising on firm and client matters
* Creating and implementing project plans
* Responding to reports of suspicious activity
* Signposting to relevant individuals, departments and agencies
* Setting up and maintaining registers
* Attending and presenting at meetings
* Responding to regulatory enquiries and investigations
* Maintaining Terms of Business and client care letters
* Drafting and maintaining policies and procedures
* Conducting file audits and preparing reports and assessments
* Complaints-handling
* Keeping up-to-date with developments in the relevant areas
* Responding to data breaches and data subject access requests
* Developing effective systems and controls
* Deputising for the COLP during periods of absence
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