Data Protection Officer - Daventry, United Kingdom - Simply Conveyancing

Simply Conveyancing
Simply Conveyancing
Verified Company
Daventry, United Kingdom

4 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Reporting to the Head of Quality and Compliance, you will work closely with the Head of Legal Practice, Money Laundering Compliance Officer, MLROs and heads of departments and teams across the Simply Group to inform, manage and protect the business from financial crime and data protection issues.


As an experienced leader in both fields, and more generally capable in compliance and audit processes you'll drive excellence across all relevant client and colleague practices.


As the DPO your primary role is to ensure Simply's processes the personal data of our colleagues, customers, providers, and any other individual in compliance with the applicable data rules.

Supporting the MLROs you will oversee Simply's compliance with anti-money laundering (AML) regulations.


In each area you will be responsible for the continuous development of our policies and procedures, auditing compliance with those policies and procedures and maintaining the firms risk registers in these areas to ensure excellence in our internal capability to manage these areas of business risk.


This role will entail managing a wide range of stakeholders to shape Simply's Data Protection, AML and anti-fraud strategies and you'll ensure that data protection and AML processes and procedures are built into BAU across the business.

Key Activities and Responsibilities

  • Review of data protection and Anti-Money Laundering (AML) culture, compliance, and practices to identify and assess risk.
  • Providing expert and constructive support to the business in respect of AML and KYC and acting as a central point of contact for our legal teams and the wider business in respect of AML issues
  • Escalating issues to Head of Quality and Compliance / the MLRO, HOLP and Chief Legal Officer where appropriate.
  • Working closely with teams and Managers across the Simply Group of companies to provide AML & data protection related operational oversight, guidance and support, promoting collaborative working and opportunities for continual improvement.
  • Taking responsibility for quality assurance and technical excellence in respect of AML and GDPR issues, meeting and promoting quality standards and controls, ensuring consistency of output and appropriate record keeping.
  • Working closely with the training team to ensure all colleagues have appropriate technical knowledge and competencies, as well as promoting a culture of quality and compliance, across these key areas.
  • Cascading technical knowledge and feedback from the business into the Risk & Compliance function, and contributing to bulletins, lessons learnt and feedback loops to support continuous improvement and best practice.
  • Ensuring a comprehensive audit process is embedded in the business to support AML & data compliance including clear and accurate audit trails to demonstrate steps taken in respect of AML/KYC and to evidence our decision making.
  • Proactively building and developing relationships with other functions to ensure effective sharing of knowledge.
  • Drafting communications to the business, using own initiative (with support from Head of Quality and Compliance).
  • Assisting colleagues with general compliance administration as and when required, covering for periods of absence.
  • Always maintaining confidentiality in respect of the business and its clients.
This job description is not an exhaustive list due to the requirements of the role.

Therefore, the job holder may be required from time to time to carry out other ad hoc tasks as requested.


Key skills, knowledge and experience

  • Significant experience of design and implementation of GDPR and AML policies and procedures for a legal firm
  • Ability to demonstrate experience and educational attainment for theoretical knowledge of managing compliance elements, including (but not limited to):
  • implementing, monitoring, or reviewing compliance processes and systems; such as GDPR, AML, practice wide polices, such as vulnerable clients, and understanding practice and matter level risk assessments;
- supervising legal transactions/matters carried out by others to ensure that they are compliant with the appropriate regulators arrangements. The CLC the regulatory arrangements;
- keeping a record of compliance breaches;
- preventing and dealing with conflicts of interests and improper influence;
- managing a practice's complaints-handling procedures;
- acting as a formal point of contact for compliance in the practice to the appropriate regulator; and
- supervising business continuity planning to ensure in the event of an adverse situation the continuity of legal service provision.


Personal attributes:


  • Proud and passionate about the work that they deliver
  • Engaging, enthusiastic, hardworking, and tenacious
  • Organised, structured and methodical
  • Excellent verbal and written communication skills with a strong attention to detail and the ability to communicate at all levels
  • Sets high standard for self and is a role model by leadin
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