Risk & Compliance Officer - Coventry, United Kingdom - AJ Fox Compliance

AJ Fox Compliance

Verified Company

Coventry, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Our client is a national law firm based in the Midlands offering a fantastic generalist opportunity for a Risk & Compliance Officer to join their team.

In this role, you will be able to get involved in several areas of compliance and make a meaningful impact across the firm.

Your responsibilities will include:

Auditing and reporting on the firm's policies and procedures at all offices, recommending opportunities for improvement, and documenting changes
Managing the annual Lexcel audit
Managing and reviewing the risk register
Monitoring breaches and recording updates
Maintaining the conflicts database
Setting up the firms database to monitor compliance and support staff training and professional development
Liaising with external regulatory bodies when necessary
Working with fee earners to investigate complaints and reviewing the file
Ensuring all complaints are processed and recorded in accordance with necessary policies and procedures
Preparing documentation relating to SARS
Maintaining records and complying with AML regulations at all times
Horizon scanning for regulatory compliance updates