Compliance Officer

Leamington Spa
25000.00 - 25000.00 GBP Annual + GBP25000/annum + benefits
14 Mar 2019
11 Apr 2019
Contract Type
An experienced Compliance Officer is sought by an award-winning law firm to join their team in Leamington Spa. This award-winning firm has been providing advice to their business and individual clients for nearly two centuries across a diverse range of sectors.

The Role:

As Compliance Officer you will support the implementation and maintenance of the firms risk management policy ensuring the firm is compliant with the SRA, FCA, anti-money laundering (AML) regulations, Data Protection legislation and other regulatory requirements. Your day to day duties will include:

-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 firms risk register and devise and implement a firm wide risk based monitoring plan in line with the firms 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
-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 firms 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
-Periodic reviews of all standard contact methods, including letter, email and SMS sent

Person Specification:

-Previous experience of working within compliance at a law firm is essential
-Used to working in a busy and fast paced environment

Benefits package:

-GBP25,000 salary depending on experience
-22 days holiday increasing with length of service
-Contributory pension scheme: 3% employee and 5% employer with the ability to make additional voluntary pension contributions
-Firm wide performance bonus scheme
-Enhanced maternity / paternity leave
-Holiday buy/sell scheme
-Flexible working
-One months Firm sick pay
-Healthcare cash back scheme allowing you to claim money back for various medical and therapy treatment costs. The benefit also provides access to: free MRI/CT scans, personal accident cover, a 24 hour confidential counselling advice line for you and your immediate family, doctor help line for general advice and second opinions for you and your immediate family, health club concessions
-Rewards portal to access offers and savings from over 450 retailers
-Annual salary review
-Training and development
-Free onsite car parking
-Onsite staff caf??
-Various social events throughout the year

Compliance Officer / Auditor

Leamington Spa, Warwickshire - commutable from Warwick, Coventry, Redditch, Stratford, Rugby, Birmingham, Solihull, Banbury

GBP25,000 depending on experience + benefits