Risk & Compliance Officer
Annual Salary: £30,000 – 42,000 - PA Depending on Experience / Qualifications (negotiable for the right candidate)
Working Hours: Full-Time, on-site
Location: York
An exciting opportunity has arisen for a Risk & Compliance Officer in an established firm based in York. This is a permanent vacancy, and so candidates who are keen to continue their career in an award-winning firm would be best suited to apply.
The key role responsibilities are:
1. Conducting compliance risk assessment training workshops and ensuring a consistent culture of compliance
2. Conducting internal reviews and audits
3. Drafting and monitoring company policies in line with current government & regulatory guidelines, amending where appropriate and communicating recent updates to the firm on a regular basis.
4. Leading the strategy as regards AML & CDD, Sanctions and all other aspects of risk.
5. Managing and advising on risk associated with AML, Counter Terrorist Financing & Counter Proliferation Financing, using a Firm Wide Risk Assessment, supplemented by Client & Matter Risk Assessments.
6. Ensuring compliance with relevant regulations incorporating AML & GDPR
7. Handling customer & Legal Ombudsman complaints as the Client Services Manager for the firm.
8. Providing regular support to the MLRO, taking on advanced AML queries and delivering clear and detailed advice to staff.
9. Dealing with all Data Protection & GDPR matters.
10. Having oversight of the onboarding process and managing two onboarding assistants, along with a compliance assistant who provides general compliance admin support.
11. Evaluating compliance systems and ensuring adequate software is in place
Candidate Profile:
12. 3 + years working within compliance
13. Strong Compliance, AML, GDPR, SRA regulation knowledge and management/ training
14. An analytical mind
This vacancy will be actively shortlisted, so early applications are encouraged, to avoid missing out on the opportunity.