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Risk and compliance officer

Marlow
Compliance officer
Posted: 8h ago
Offer description

Well established Legal firm seeks a suitable Risk & Compliance Officer with 2 to 5 years experience in a law firm or professional services. The role will suit someone who is proactive, with a can do attitude, an all rounder who can hit the ground running. ROLE: * Client onboarding. * AML/SAR – analysing documentation and reporting back to the MLRO. * Assisting with any and all source of funds and source of wealth investigations, reviewing and documenting findings/questions. * Credas/EIDV – admin for the ID portals, ensuring that everyone has the relevant access, guidance and support when using the portals. * Any and all ongoing monitoring alerts regarding PEPS and Sanctions. * Complaints – confidently handling complaints, investigating and dealing with the firms response to the complainant. * Accreditation & Audits – dealing with regulatory audit experience is necessary. Ensuring all documents are compiled and ready for audit by the relevant auditor. * Policy updates. * Manage the Risk email inbox – responding to and assisting with responses to the risk emails. * Researching new or planned changes suggested by SRA/Law Society/authorising bodies. * Ensuring updated Sanctions lists are forwarded as and when received. * Undertakings – logging new undertakings onto the system and ensuring that these are monitored and updated at regular intervals. * Price transparency – checking all is up to date with the HOD and amending where needed. * CQS – annually assisting HOD of residential with CQS accreditation, booking and monitoring of all training to ensure that we are compliant with CQS. * General risk admin duties. REQUIREMENTS: * Ability to comfortably speak to people of varying degrees of seniority. * 2-5 years experience in a law firm or professional services. * Skilled with GDPR considerations. MORE INFO: * Salary Negotiable on experience * Fully office based * Monday – Friday 9am – 5pm

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