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Graduate - legal and compliance officer

Alderley Edge
Compliance officer
Posted: 5h ago
Offer description

About Us Quint is a high growth, fintech group owning and operating a portfolio of companies across payments, credit, data and credit information & reporting. The Legal Risk and Compliance function provides services to this portfolio of companies. Following the successful disposal of a subsidiary, the organisation is undergoing a restructure, and the LRC function is being re-shaped to fit the needs to the new operating model. You will be a focused and ambitious individual looking to develop your legal and compliance career in an exciting and innovative sector. Your Mission Reporting into the Head of Legal, this role will be split 50/50 between the legal and compliance functions. You will be assisting both functions in the delivery of planned work. Depending upon the candidates suitability, the legal aspects of the role are suitable for Qualifying Work Experience (QWE) under the SQE route to qualification. To qualify as a solicitor via the SQE route, you will need to complete two full years' worth of QWE that is grounded in legal work and the provision of legal services, developing some or all of the competencies set out in the statement of solicitor competence. The legal aspects of this role will provide valuable QWE in a regulated fintech environment. Core Responsibilities Legal (50%) Company secretarial and governance support Maintaining statutory registers and ensuring compliance with the Companies Act 2006. Supporting corporate governance processes and company secretarial filings at Companies House. Assisting with board and committee meetings, including preparing agendas, board packs, and minutes. Data protection and privacy Supporting the Data Protection Officer with data protection impact assessments (DPIAs) and legitimate interest assessments (LIAs). Reviewing and updating privacy policies and data processing documentation. Monitoring regulatory developments in UK GDPR and the Data Protection Act 2018. Commercial contracts Drafting and reviewing commercial agreements including NDAs and partner and referral agreements. Supporting the contract approval process. Creating resources and materials for teams to self-support, such as contract playbooks and FAQs. Assisting with legal operations initiatives to improve the contract intake process and introduce efficiencies through technology. Legal research Researching legal matters including commercial law, intellectual property, consumer credit and regulatory law. Building and maintaining a legal and compliance knowledge base. Compliance (50%) Compliance monitoring Supporting ongoing compliance monitoring activities across the group businesses. Assisting with compliance reviews and audits to ensure adherence to applicable laws, regulations, and internal policies. Monitoring adherence to the FCA Handbook and application of rules, guidance, and Consumer Duty principles. Identifying compliance risks and assisting with the implementation of remedial actions. Regulatory policies and procedures Assisting with the development, review, and maintenance of regulatory policies and procedures. Supporting the implementation of compliance frameworks across the group. Contributing to the financial promotions approval process and regulatory due diligence processes. Regulatory Monitoring regulatory updates and horizon scanning relevant to the business. Assisting with regulatory reporting obligation. What We're Looking For: Experience & Capability Essential Law graduate or currently studying for the SQE with a genuine interest in pursuing a career as a solicitor. Strong academic record demonstrating analytical and research capabilities. A proactive approach to using AI and legal technology. Excellent written and verbal communication skills. Strong organisational and time management skills with the ability to manage multiple priorities in a fast-paced environment. Commercial awareness. Desirable Experience in commercial contracts, compliance or corporate work. An interest in legal tech and legal operations. Familiarity with the FCA Handbook or UK GDPR. Why This Role Is Interesting Opportunity to gain valuable QWE. Exposure to both legal and compliance functions in a regulated financial services group. Mentoring and supervision from qualified solicitors to support your professional development. Amazing offices amid 400 acres of parkland in Alderley Park. The Glasshouse building is home to lots of exciting tech start-ups and scale-ups, and our neighbours enjoy lots of social and wellbeing activities.

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