This is an exciting opportunity for a junior compliance professional to join a regional firm’s compliance team in Brighton. The role encompasses a wide range of compliance operations, supporting senior members of the team. Responsibilities include Anti-Money Laundering efforts, assisting in quality assurance programs such as Lexcel, managing the complaints procedure, and supporting various compliance projects throughout the business.
Job Responsibilities
1. Internal Compliance Audits: Conducting audits to ensure teams adhere to internal policies, procedures, and professional conduct standards.
2. Risk Management Support: Helping teams develop, monitor, and manage risk plans specific to their operations.
3. Quality Assurance Involvement: Supporting firm-wide quality programmes, including Lexcel, CQS, and Law South Risk & Compliance standard.
4. Claims & Complaints Investigation: Participating in investigations related to client claims or complaints against the firm.
5. Targeted Internal Investigations: Working with senior compliance managers to carry out focused investigations on specific topics.
6. Regulatory Improvements: Collaborating on resolving compliance queries, identifying weaknesses, and implementing changes to strengthen firm-wide policies and practices.
7. Regulatory Coordination: Liaising with the Information Services and Client Compliance Team to ensure regulatory requirements are met.
8. AML Reporting: Assisting the Anti-Money Laundering Manager with reporting obligations, including notifications to the National Crime Agency, and work with the MLRO team.
Skills & Experience
9. Experience of working in an administration role, ideally in a professional services/corporate environment.
10. Experience of working in a legal or compliance environment, and will understand the importance of confidentiality in this role.