Risk and Compliance Assistant
An established professional services organisation is seeking a Risk & Compliance Assistant to join its growing law firm. This is a varied role suited to a proactive individual who enjoys working across compliance, regulatory administration, and operational risk processes, supporting colleagues across the business.
The successful candidate will be an organised all-rounder, comfortable managing multiple compliance activities and engaging with stakeholders at different levels.
Permanent
Monday to Friday 40hrs per week
Buckinghamshire
Duties of the Risk and Compliance Assistant
* Managing client onboarding and due diligence processes, including ID verification and documentation review.
* Supporting AML monitoring, sanctions and PEP screening, and escalation of relevant findings.
* Assisting with source of funds and source of wealth reviews, maintaining accurate compliance records.
* Administering identity verification systems and supporting colleagues with related queries.
* Accreditation & Audits.
* Supporting the investigation and handling of complaints and regulatory correspondence.
* Assisting with regulatory audits and accreditation processes, ensuring documentation is prepared and maintained.
* Updating internal policies, procedures, and compliance registers.
* Managing and responding to risk and compliance queries received via shared inboxes.
* Ensuring updated Sanctions lists are forwarded as and when received.
* Dealing with complaints.
* Monitoring regulatory updates and assisting with implementation of process changes.
* Supporting general risk and compliance administration across the organisation.
Experience required for the Risk and Compliance Assistant
* Previous experience within a law firm risk and compliance function (2-5 years - essential).
* Working knowledge of AML, regulatory compliance, and client due diligence processes.
* Strong organisational, documentation, and stakeholder communication skills.
* Ability to manage multiple priorities within a professional services environment.
* Must have a driving licence