Risk & Compliance Officer

An exciting new opportunity has arisen for a Risk and Compliance Officer to join our Business Support team. This role would suit someone with experience of working within the legal industry in a Compliance based role.

To apply, please provide a covering letter and CV, highlighting relevant skills and experience. Please email your application to Emma Orford, Head of HR, at emma.orford@alsterskelley.com .

Please note if you apply direct (not through an agency) and successfully complete your probation period, we will give you a one-off bonus payment of £250 (gross pay).

Compliance

• Audit of the firm's policies and procedures against practice and reporting to the COLP, COFA, MLRO, DPM, HR and ICT Manager as appropriate and where possible recommending change and improvement where audit is at variance to practice.
• Attending all offices to review files, procedures, and records to ensure that procedures as stated in the firm's manuals are being complied with and where possible recommending change and improvement where audit is at variance to practice.
• Regular review of audits to include completion of central logs using the firm's software where available; diarise to assist Fee Earners as required; reporting to Managing Director to assist where required; update of new starters, leavers and change in PQE/experience/Department/issues to ensure reviews are carried out as appropriate in accordance with the firm's policies.
• Amend policies to reflect changes to policy and procedure as directed to ensure maintenance of effective systems. Communicate amendments to relevant members of the firm and update Office Manual.
• Management of annual Lexcel and CQS audits and ensure the firm is prepared across all areas for compliance.
• Maintenance of records relating to all policies and procedures, obsolete and expired version control, ensuring that expired policies are saved for reference.
• Attending on all staff across all offices to support and assist with compliance.
• Risk Register - record Enhanced Risk Notices; arrange and monitor periodic reviews with Fee Earners; deal with removal. Analyse complaints and risks and feed back to the Directors.
• Breaches - record on Tikit system including monitoring and recording updates to conclusion.
• Conflicts of interest - maintain central Register of conflict review decisions; collation and review to update own interest conflict data.
• Assist in the collation of data for practising certificate renewal, PII renewal and diversity data submission.
• Management of annual AML audit.
• Working with Managing Director and the Accesspoint to improve efficiency of compliance and CMS systems.

VinciWorks

• Set up VinciWorks to efficiently assist HODs and Managers to best monitor compliance, to support all staff in training requirements and continuing professional development. In particular set up groups and implement nagware features.
• Ensure all personal training (including fire drills and internal/external training) are recorded on VinciWorks.
• Notify relevant nominated officer of new courses for review.
• Upload internal and distribute new training courses as requested by the relevant nominated officer. Monitor and ensure completion within specified time period.

SRA/Law Society

• Liaise with external regulatory bodies to obtain initial advice where instructed to include advice on ethics, AR's and the code of conduct.
• Assist with the completion of applications and forms to ensure ongoing regulatory compliance.

Complaints

• Responsibility for working alongside fee earning and support staff to investigate service complaints (to include reviewing the file as appropriate) and preparing responses as required.
• Refer technical / legal advice complaints to fee earners for comment and compile relevant documentation for review by the relevant HOD and/or firms Complaints Director.
• Ensure that all complaints are followed up and progressed in accordance with the firm's policies and procedures and requirements of the LeO Regulatory body.
• Record complaints on Tikit - detailed information and related documents; monitoring and recording updates to conclusion and reporting data quarterly to the COLP.

AML/CTF

• Attend on and liaise with fee earners as required to prepare documentation and information in connection with the reporting of SARS to the NCA.
• Attend on and liaise with fee earners as required to assist the firms MLRO in SOF decisions.
• Maintenance of records in connection with AML/CTF reporting and advice.
• Always comply with the AML/CTF regulations concerning the conduct of a matter, in particular tipping off and maintenance of records and communications.

General

• Ensuring compliance with CQS
• Visiting all staff across all offices to support and assist with compliance.
• Undertaking induction compliance training for new starters
• Maintaining conveyancing lender panels
• Accurate record keeping including; making and filing contemporaneous notes of all conversations with clients, staff and other third parties in connection with a client matter
• Taking, filing notes and minutes of internal meetings and conversations as required for compliance, record keeping and reference
• Typing up minutes of meetings
• Maintaining filed records in tidy, up to date, logical and organised electronic folders
• Keeping up to date with changes and developments in regulatory compliance

• At least two years' experience working within a Compliance based role within the legal sector
• It would be advantageous to have complaints experience and/or experience of the Ombudsman and their processes
• Strong and proven administrative and organisational skills
• Technically competent in relation to the regulatory requirements
• Highly accurate and consistent with attention to detail
• Ability to work within agreed timescales
• Excellent written skills - ability to draft letters and policy updates
• Strong interpersonal skills, able to deal proactively with fee earners and other staff
• Understanding of Lexcel requirements would be advantageous
• Knowledge of SRA Regulations and Standards 2019 and codes of conduct
• Awareness of SRA Accounts Rules and their application to the conduct of matters
• Awareness and understanding of MLR's reporting obligations, sanctions and tipping off
• Driving licence and use of own car is essential as you will be required to travel across all our offices on a regular basis