Compliance Officer/Auditor

Good Egg Recruitment
Leamington Spa, UK
24 Mar 2019
22 Mar 2019
Contract Type
Level of qualification
Newly qualified, Qualified
Due to expansion, our Client is looking to recruit an experienced Compliance Officer/Auditor to join their team. You will be working within a friendly environment in a modern, successful law firm based in Warwickshire. Role Purpose: To support the implementation and maintenance of the firm's risk management policy ensuring the firm is compliant with the SRA, FCA, anti-money laundering regulations, Data Protection legislation and other regulatory requirements. Key Contribution Areas:
• Compliance experience is essential, ideally within the Law industry
• Conducting internal audits to provide assurance to the Approved Persons that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies
• Ensuring that Quality Assurance checks, and controls are effective and that any weaknesses are reported, identified and addressed
• Review of policies and procedures and training to ensure they are up to date and compliant with regulatory requirements
• Respond to queries raised by the FCA and completing applications for approved persons
• Delivering and providing training firm wide
• Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance
• Assisting the Head of Risk and Compliance to maintain the firm's risk register and devise and implement a firm wide risk based monitoring plan in line with the firm's risk register
• Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports Operational Compliance Officer Role:
• Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting
• Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause
• Respond to requests for information under the Data Protection Act and requests to delete information
• Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm's data base
• Updating training material to ensure it is compliant with legislation and working with the compliance team to deliver training in a way which minimises time away from work
• Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits Our Client offers extensive training and support plus an outstanding benefits package.