Compliance Administrator
£28,000 £35,000 per annum
Benefits - Private healthcare, bonus scheme and competitive pension scheme
Our professional client based in Reading is seeking a Compliance Administrator to join their dynamic and close-knit team.
In this key role, you will support the business in maintaining its strong commitment to ethical standards and legal compliance. As Compliance Administrator, you will play an integral part in ensuring the company continues to uphold the highest levels of professionalism across its operations.
This position requires a solid understanding of compliance principles and the ability to confidently navigate regulatory requirements within a legal or professional services environment.
Company Benefits:
Private healthcare
Bonus scheme
Competitive pension scheme
Key Responsibilities:
Acknowledge and manage formal complaints in line with company policy
Investigate complaints, liaise with Fee Earners (FEs), and draft responses for approval
Maintain the Complaints Register and ensure compliance with timescales
Handle escalated complaints to the Legal Ombudsman, SRA, ICO, and third parties
Identify complaint trends and report potential training needs
Prepare monthly reports for Branch Heads and quarterly reports for Management
Manage and investigate data breaches in accordance with internal policy
Support FEs in resolving breaches and report outcomes to the ICO and compliance team
Maintain an accurate Central Register of data breaches
Regularly review and update data protection processes
Review and manage Client Due Diligence (CDD) risk assessments
Record and maintain high/medium-risk client data
Handle Suspicious Activity Reports (SARs) and determine risk levels
Compile AML reports, including annual reports to the Board
Monitor regulatory updates and advise on required changes
Arrange and manage AML-related staff training
Maintain and update all key compliance registers, including:
Complaints, AML/CTF, Data, Conflicts, Gifts, Undertakings, File Reviews, Claims, Sanctions, and more
Prepare quarterly reports and other compliance updates
Use central registers to support audits, risk reviews, and training planning
Conduct monthly file audits and quarterly peer reviews
Record and follow up on findings and action points
Review ad hoc files and log outcomes
Oversee file reallocation and ensure physical/electronic files are transferred correctly
Manage change of Fee Earner processes and charge rate updates
Organise internal and external training sessions
Maintain training logs and Continuing Competence records
Monitor and update office manuals and compliance procedures
Communicate policy changes across the business
Induct new staff on compliance and health & safety policies
Ensure all offices have sufficient first aiders, fire marshals, and safety equipment
Maintain accident records and oversee annual risk assessments (including COSHH and DSE)
Conduct homeworking risk assessments
Liaise with external safety support providers as needed
Support Management with negligence claims and liaise with insurers
Review and update client care letters, precedents, and terms of business
Ensure compliance with SRA transparency rules
Coordinate file archiving and destruction processes
Compile and submit reports, including SRA diversity data
Maintain awareness of regulatory changes and cascade updates internally
Assist Managing Director with policy planning and regulatory compliance
Experience and Skills Requirements:
Degree in business, compliance, or a related field preferred but not essential.
Previous experience in a compliance, risk, or governance role in a regulated or professional environment.
Strong understanding of compliance and regulatory frameworks.
Excellent attention to detail and analytical skills.
Confident communication and interpersonal skills.
Ability to work effectively both independently and within a team.
Proficiency in Microsoft Office and relevant systems.
If you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.
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