Compliance Officer

Recruiter
Plus One Personnel
Location
Leamington Spa, UK
Salary
Competitive
Posted
26 Mar 2019
Closes
01 Mar 2019
Ref
1091929805
Contract Type
Permanent
Hours
Full-time
Level of qualification
Newly qualified, Qualified
Our client is a well-established and respected Legal Firm in the local area looking to recruit a Compliance Officer to join their dynamic team. You will be responsible for compliance with regulatory FCA, SRA and anti-money laundering regulation guidelines to include data protection legislation. The role will involve looking at the needs of the clients and handling any complaints. The aim of the role is to support, challenge and investigate internal issues in order to improve compliance and audit standards across the business. This role will suit a diligent and organised individual who is looking for longevity and stability within their next role. Main

responsibilities:
Conducting internal audits. Ensure the business is compliant with regulatory guidelines and legislative guidance. Ensure all Quality Assurance checks and controls are effective and that any weaknesses are reported, identified and addressed. Review policies and procedures. Support in the training of staff to ensure everyone is up to date and compliant with regulatory requirements. Respond to queries raised by the FCA and completing applications. Contribute to projects to support regulatory changes. Maintain the firm's risk register and devise a firm wide risk-based monitoring plan Conduct firm wide thematic audits to address areas of high risk. Provide clear and concise management reports. Key Skills & Experience: Excellent knowledge of the FCA. Previous experience within a compliance, audit or quality environment is essential. Ideally you will have experience from a legal industry background. Strong IT skills, in particular Microsoft Office - Excel and Word. Highly organised, systematic and the ability to prioritise own workload. Excellent attention to detail. A confident, positive, and proactive attitude is a must. If you are interested in the above role then please apply with your CV or phone Joanna Middleton on 01926 332277 for a private and confidential discussion.