Well established Legal firm seeks a suitable Risk & Compliance Officer with 2 to 5 years experience in a law firm or professional services.
The role will suit someone who is proactive, with a can do attitude, an all rounder who can hit the ground running.
ROLE:
* Client onboarding.
* AML/SAR – analysing documentation and reporting back to the MLRO.
* Assisting with any and all source of funds and source of wealth investigations, reviewing and documenting findings/questions.
* Credas/EIDV – admin for the ID portals, ensuring that everyone has the relevant access, guidance and support when using the portals.
* Any and all ongoing monitoring alerts regarding PEPS and Sanctions.
* Complaints – confidently handling complaints, investigating and dealing with the firms response to the complainant.
* Accreditation & Audits – dealing with regulatory audit experience is necessary. Ensuring all documents are compiled and ready for audit by the relevant auditor.
* Policy updates.
* Manage the Risk email inbox – responding to and assisting with responses to the risk emails.
* Researching new or planned changes suggested by SRA/Law Society/authorising bodies.
* Ensuring updated Sanctions lists are forwarded as and when received.
* Undertakings – logging new undertakings onto the system and ensuring that these are monitored and updated at regular intervals.
* Price transparency – checking all is up to date with the HOD and amending where needed.
* CQS – annually assisting HOD of residential with CQS accreditation, booking and monitoring of all training to ensure that we are compliant with CQS.
* General risk admin duties.
REQUIREMENTS:
* Ability to comfortably speak to people of varying degrees of seniority.
* 2-5 years experience in a law firm or professional services.
* Skilled with GDPR considerations.
MORE INFO:
* Fully office based
* Monday – Friday 9am – 5pm