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Risk and Compliance Officer or Solicitor

Harper James
Closing date
23 Jul 2022

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Contract Type
Full Time
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Risk and Compliance Officer or Solicitor

Harper James Solicitors is a growing, ambitious commercial law firm like no other. We have an exciting new opportunity for a Risk and Compliance Officer or Solicitor to join our team in our Birmingham office. The role is hybrid (ideally office based 2/3 days a week).

Who we are

Harper James is designed specifically to support entrepreneurial businesses from start-up to scale-up and beyond.

Toby Harper, its founder and CEO, previously worked in-house for a well-known venture capital firm. During his time there, he saw first-hand the barriers growth businesses faced in accessing quality legal advice and decided something needed to be done.

Harper James aspires to disrupt the model for which legal services are provided to businesses. The Netflix of the legal world, the firm's innovative approach to delivering highly tailored and accessible legal advice is considered genuinely different to the establishment.

Harper James is in its 8th year and hitting a £7m turnover. We have plans to triple this income by 2025 and getting in the right talent to support our growth is a key part of our strategy.

What do you need to bring to our team?

This is a fantastic opportunity for a Risk & Compliance Officer with experience within the legal service sector, or maybe you are a qualified solicitor, legal executive or paralegal (with at least five years experience) in compliance, AML and risk assessments and are looking for a non-practising role.

Key Responsibilities

  • Undertake audit/assessment of following areas:
  • AML processes and associated policies
  • Data processing and associated policies
  • Financial management procedures and associated policies
  • Client Care including claims/complaints log and associated policies
  • Conflicts of Interest processes and associated policies
  • File management processes and policies
  • Undertakings policies and procedures
  • HJ Practice Manual
  • Internal training records
  • Carry out any remedial work required to bring the Practice Manual and associated processes/ policies up to date (with assistance from Operations Manager, COLP and COFA as required.)
  • Provide ongoing email and phone assistance with compliance-related queries from Solicitors, Finance, BD and Client Services team.
  • Risk assessment of new clients/ oversee client onboarding.
  • Monitoring high risk clients/ PEPs/ high risk transactions.
  • Carry out spot check to audit compliance with all above areas/policies.
  • Carry out file audits.
  • Produce quarterly reports to Directors and Operations Manager including summary, any areas of concern/regulatory updates/ training recommendations etc.
  • Carry out any remedial work required in future to keep processes and policies up to date (with assistance from Operations Manager, COLP and COFA as required.)

What we can offer you

  • The opportunity for you to be part of a fast growing business that is leading innovation in the legal service sector with accelerated professional development and growth opportunities.
  • A competitive salary and benefits.
  • This is a full time or part time role.

If we think you're going to be a fit, we'll be in touch within a week to kick things off with an informal chat.
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