We are currently recruiting for a Risk and Best Practice Assistant to join our Bath office. You will assist the Risk and Best Practice team in the provision of professional, efficient, and high quality first-tier assistance with risk and compliance queries to the firm and external parties.
Duties will include:
1. Be the first point of contact for queries in relation to the department’s policies and procedures, escalating where appropriate
2. Review and respond to first line GDPR data breaches, liaising with the relevant staff. Where appropriate forwarding complex matters to the Risk and Best Practice Lawyer
3. Review and respond to AML queries, escalating to the AML Manager where appropriate
4. Provision of first-tier guidance on client onboarding queries, including initial analysis of e-verification search issues and analysis of PEP and Sanctions matches
5. Provide support to staff on the e-verification and client management system
6. Maintain and generate reports on the department’s risk and compliance registers, including but not limited to: complaints and claims; compliance breaches; anti-money laundering registers and training records
7. Monitoring of updates to the sanctions regime by the government and OFSI, checking the details against our database and informing the staff of the updates
8. Undertake file audits to determine compliance with our policies
9. Assistance with the identification of key policies, documents, or correspondence
10. Renewal and collation of the department’s certificates and registrations including ICO registrations and insurance certificates
11. Support the annual SRA Practising Certificate Renewals, assisting HR with provision of risk data
12. Provide administrative support for external audits, including those relating to Lexcel, CQS, AML audits and the Legal Aid Agency
13. Manage the Risk and Best Practice team’s diaries and ensure key dates and deadlines are recorded. Responsible for scheduling and minuting meetings and chasing up actions
14. Provide support to the other members of the Risk and Best Practice team, including the creation of bundles to support analysis of claims and complaints or to assist with investigations
15. Creation of correspondence and training materials
16. Manage and maintain the Risk and Best Practice Team’s intranet pages
17. Monitor SRA/Law Society/ICO websites for updates
18. Developing and delivering induction training to new starters
19. Support the team with other administrative duties and projects as required
20. Carry out any other ad-hoc duties as requested
Skills, Experience and Attributes
21. Previous experience within a legal environment is desirable
22. Excellent organisation skills with the ability to prioritise effectively and meet tight deadlines
23. Some knowledge of risk and compliance subjects relevant to a law firm, for example, anti-money laundering and/or data protection
24. Team player - actively participates as a member of a team
25. Develops and maintains relationships with others