Our client is seeking a Conduct Risk Lawyer to join their Risk & Compliance team at any of their offices.
This role involves providing expert advice on professional responsibility, risk, and compliance issues, reviewing complaints procedures/policies, and developing client-aligned complaints handling processes.
Team Overview
* The Risk & Compliance team addresses a wide range of partnership, risk, and compliance issues, acting as an in-house legal department.
* The Conduct Risk Team specifically offers legal and regulatory advisory services to proactively and reactively manage risk and ensure compliance, supporting the firm globally.
* Key Responsibilities
Oversee and develop complaints handling processes to meet client requirements.
1. Manage complaints handling MI and reporting.
2. Investigate complaints and prepare responses for complainants and regulatory bodies.
3. Assist in managing professional indemnity claims to ensure quick and efficient resolution in line with regulatory, commercial, and insurance obligations.
4. Maintain relationships with brokers, insurers, and panel lawyers.
5. Analyze and report on significant or recurring compliance failures, recommending actions.
6. Provide guidance on professional conduct issues.
7. Support Legal Counsel in updating policies and guidance.
8. Address conduct risk queries in line with SLAs.
9. Stay updated on legal an...