Risk and Compliance Executive
Location: WitneySalary: competitive
My client is a progressive, forward-thinking firm which is based in a part of the country offering a good work/life balance.
They are seeking an enthusiastic individual to join their Risk and Compliance team, working closely with and reporting into the Risk and Compliance Manager/Partner. For the right person there will be career progression as it forms part of the firm's succession planning strategy.
- Assist the Risk and Compliance Manager in promoting and embedding a culture of compliance within the firm and ensure that everyone is aware of their risk and compliance responsibilities
- Produce policies, procedures, communications and training materials to improve risk and compliance knowledge across the firm
- Amendments and updates to the Office Manual and the firm's policies, procedures, terms of business engagement letters etc.
- Maintaining the firm's central registers
- Delivering risk and compliance training
- Day to day queries on a broad range of risk and compliance matters, including but not limited to: anti-money laundering and client due diligence; data protection and information security, conflicts of interest and confidentiality; professional ethics and risk management generally
- source of funds/wealth checks
- Administration of the CQS accreditation
Knowledge and Experience
- Experience of working in risk and compliance desirable
- Legal or compliance qualification desirable
- Awareness of regulations and codes of conduct applicable to the operation of a law firm desirable
- Competent with IT applications such as Word, Excel and Outlook essential
- Ability to work independently but also with other members in the team
- Excellent organisational skills with the ability to prioritise effectively
- Confident with communicating at all levels, both verbally and in writing
- Analytical, numerate and good attention to detail
- Solution focused