Role - Compliance Officer
Location - Leeds
Salary - £30k
Job Description
* Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures.
* Manage the firm’s Lexcel Accreditation Audit
* Ensure continual monitoring and review of compliance procedures to help identify possible areas where improvements can be made
* Work with the Compliance Partner to develop internal policies and procedures, compliance training and protocols.
* Keep up-to-date with regulatory developments and industry initiatives
* Develop compliance checklists and compliance reports as and when required.
* Design, develop and manage compliance checklists, reports and monitoring programmes.
* Ensure compliance with best practices and undertake any other duties as required by the Management Team.
* Prepare compliance documents for statutory, legal and regulatory purposes.
* Work with management and staff to identify regulatory risks and design internal controls to ensure compliance within the firm.
* Perform routine risk assessments to help the firm understand compliance risk, scope and significance.
* Educating employees on compliance regulations and the impact of non-compliance on the firm.
* Review marketing materials, websites and presentations (including new employee induction programmes) to ensure compliance with regulations.
* Work with the management from other departments to ensure compliance and investigate irregularities
* Contribute to robust and effective compliance controls within the firm.
Skills
* Critical problem-solving skills and analytical skills
* Attention to detail with the ability to interpret information rapidly.
* Excellent verbal and written communication skills
* Good interpersonal and conflict management skills
Qualifications
* Bachelor’s Degree in Law or relevant qualification.
* Minimum of 3 years compliance experience within the legal environment.
* I.T knowledge (particularly in Excel and Word).