Risk And Compliance Executive

Description:

We have an exciting, new opportunity for a Risk and Compliance Executive to join a leading Law Firm in Bournemouth. This varied role will support the Risk and Compliance Manager and collaborate with fee earners to ensure compliance with all legal, regulatory and professional standards.

The ideal candidate has previous risk and compliance experience gained within a professional services law firm. Prior experience designing and implementing compliance policies, processes and procedures is highly desirable, alongside an understanding of SRA Standards and AML Regulations.

Some responsibilities:

• Stay informed on relevant legislative/regulatory changes and ensure policies/procedures are promptly updated
• Maintain and update existing compliance/regulatory policies, processes and procedures
• Deliver comprehensive risk & compliance training across the firm
• Provide legal, risk and compliance-based advice to firm-wide staff
• Collaborate with senior management and fee earners
• Act as a point of contact for the firm’s broker/claims handler regarding insurance policy renewals
• Collaborate with the MLRO to ensure compliance with Money Laundering Regulations
• Maintain compliance registers, such as risk registers, conflicts registers, etc
• Analyse file review data and report on findings
• Investigate complaints, incidents and breaches, and make recommendations for future prevention
• Escalate potential SRA regulatory breaches