Description:
Our client, an expanding & friendly regional law firm, is seeking to recruit their first Compliance Manager. Reporting to the relevant Partners, duties will include;
- Overall responsibility for reviewing and maintaining GDPR, AML, CML, Sanctions Lists and SRA regulatory compliance procedures, staff training and monitoring.
- Assisting with AML procedures.
- Assisting staff with compliance related queries.
- Monitoring routine and random file reviews.
- Helping maintain the firm’s compliance procedures and training manual.
- Investigating and reporting on any suspected breach of applicable standards.
- Supporting and assisting senior management in adherence to applicable laws and regulations as well as to high standards of business and ethical integrity.
- Monitoring and reporting on compliance with changes in applicable laws, regulations and standards.
- Risk assessment for high risk escalations, including Money Laundering, Sanctions, Bribery, corruption and internal failings.
- Assist in the development and delivery of training to address the identification and monitoring of high risk clients.