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Regulatory/Risk & Compliance Assistant - Surrey, United Kingdom - Setfords
Description
GuildfordPermanentFull Time£31,000 - £35,000 per annum depending on experience Who we are We believe traditional law firms are outdated.Long hours and punishing billing targets mean that lawyers often don't have the time or capacity to do their best work.
Which, in turn, means client satisfaction and customer care suffer.At Setfords, we do things differently. We treat people like people, not casework.
Our pioneering and award-winning consultant-led model is disrupting a centuries-old market, allowing us to put our lawyers and clients' best interests at the heart of everything we do.
We are building a team that uses rich datasets, cutting-edge tech and industry-leading marketing smarts to deliver our vision: to be a law firm for everyone.
PurposeThe Regulatory/Risk and Compliance Assistant will play an important role in ensuring compliance with AML regulations and other regulatory requirements within Setfords.
They will contribute to the firms integrity, reputation and adherence to legal standards. This role will be part of the Compliance team based in the Guildford Office.Duties and Responsibilities (not limited to)
Compliance Monitoring:
Conduct regular reviews of client files and transactions to ensure compliance with AML regulations;Monitor and analyse client transactions for suspicious activities, reporting any findings to the Compliance Director immediately;Assist in implementing and maintaining AML policies, procedures, and controls within the firm
Client Due Diligence:
Assist in conducting thorough due diligence checks on new and existing clients to assess their risk levels;Verify the identity of clients and beneficial owners through various sources, including public records and databases;Ensure all necessary documentation is collected and maintained in accordance with regulatory requirements
Regulatory Research and Analysis:
Stay informed about changes and updates in AML and other regulatory requirements affecting the legal industry;Conduct research on regulatory issues and provide summaries or reports as needed
Record Keeping and Documentation:
Maintain accurate and organised records of AML-related activities.
Prepare and submit regulatory reports to relevant authorities within specified deadlines;Ensure confidentiality and security of sensitive AML-related information and documentation.
Training and Awareness:
Assist the Compliance Director in developing AML training programs for staff members to increase awareness and understanding of regulatory requirements;Provide ongoing support and guidance to colleagues regarding AML compliance matters and best practices;Keep abreast of emerging trends and developments in compliance
Internal Collaboration:
Collaborate with the Compliance team and other relevant stakeholders to address compliance related issues and concerns;Communicate effectively with different departments within the firm to facilitate coordination and compliance efforts;Participate in internal meetings and discussions to provide input on AML compliance strategies and initiatives;Foster a culture of compliance awareness and ethical behaviour with stakeholders
Audit and Examination Support:
Assist in preparing for internal and external audits and regulatory examinations related to AML compliance
Risk Assessment:
Contribute to the firm's risk assessment process by identifying and evaluating relevant risks;Assist in developing risk mitigation strategies and controls to minimize exposure to financial crime and regulatory violations.
Skills and ExperienceUndergraduate degree (preferably in law) or legal qualification;Previous experience of working in a regulated firm (preferably a law firm);Knowledge of the SRA Standards and Regulations and SRA Codes of Conduct;Strong analytical skills ;Excellent attention to detail and organisational skills, with a commitment to maintaining accurate records and documentation;Effective communication skills, both written and verbal, with the ability to collaborate across different levels of the organisation;Proficiency in using relevant software and databases;Ability to work independently and manage multiple tasks simultaneously in a fast-paced environment;Commitment to upholding ethical standards and integrity;Proficiency in MS Software.
BenefitsPrivate medicalLife assurancePension via NESTCycle to work schemeFree breakfast, lunch, snacks and drinks from our onsite BistroFree onsite gym with access to a Personal TrainerEmployee Assistance Programme22 days annual leave, increasing after 2 days service 1 day per year to a total of 27 daysChristmas closure payOccupational HealthLots of free company eventsDiversity and InclusionDiversity, equity and inclusion are incredibly important to us at Setfords.
We encourage applications from all backgrounds, communities and industries and we are happy to discuss any reasonable adjustments that you may require for a successful application process.
Please don't hesitate to get in touch if we can assist in making your application process and experience as positive as possible.
Our values One teamAt Setfords, we believe the only way we will deliver on our business' amazing potential is by working together.
We share in each other's successes, and help each other out when things don't go to plan – and we do so with a total absence of ego, blame, or internal competition.
Here to helpWe help our clients and our consultants succeed because we are always happy to go the extra mile.
Our first thought is always "I'm here to help", not "is it my job to?", and we relish the opportunities that this brings:to go beyond our comfort zone, and to learn new skills.
Smart problem-solversWe work with thousands of clients and hundreds of lawyers every year – and every year we get better at understanding what those clients and lawyers need.
We use cutting-edge tools, data analytics and subject-matter expertise to inform all of our judgements, and bring an entrepreneur's mindset to work every day, always looking for ways to improve our offering.
Break new groundSetfords is transforming a centuries-old industry, and we are doing it fast.We love the challenges and opportunities that our high-growth, dynamic culture generates, and we are always on the lookout for a new technology or interesting new perspective that will allow us to get to our destination even faster.
Nurturing talentWhether you are a lawyer who has been qualified for decades or a new hire embarking on the first steps of your career, we believe in giving everyone within our business the opportunity to reach their full potential.
We have a proven track record of promoting from within, and many of our leaders and future leaders have started their working journeys at Setfords.
For our consultants, we provide the platform, coaching and support that allows our lawyers to provide legal services the way they want.
