Compliance Officer/Auditor

Recruiter
Good Egg Recruitment
Location
Leamington Spa, UK
Salary
Competitive
Posted
24 Mar 2019
Closes
22 Mar 2019
Ref
1059361852
Contract Type
Permanent
Hours
Full-time
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.