Compliance Administration Assistant

Role Overview

• Provide day to day support to the Head of Compliance and the Compliance Officer
• Providing support to other senior members of the senior leadership team if needed
• Assisting with keeping Compliance team records accurate and up to date to comply with regulatory requirements
• Assisting with maintaining the firm’s records on public registers e.g., SRA, Law Society, Data Protection etc.
• Reviewing, updating, and maintaining Compliance team user manuals and policies
• Assisting with preparation and conduct of regulatory Audits such as Lexcel, ISO9001
• Assisting Legal Departments with compliance information for renewal of panel memberships and accreditations
• Maintain the internal Complaints and Data Protection Registers
• First point of contact for any Data Breaches
• Locking and unlocking files
• Assisting with conflict checks and complaint chronologies
• Assisting with the annual PII renewal, Practicing certificate bulk renewal, AML data collection and Bi-annual SRA Diversity data collection
• Overseeing the use of Access Computer Based Training system
• Running monitoring reports
• Issuing lists for File reviews, corrective actions and running monitoring reports
• Checking and reviewing outstanding client onboardings (ID checks)
• Overseeing the CQS process

Requirements

• Previous administration experience in a professional services or legal setting
• Excellent time management, organisational and IT skills
• Attention to detail
• Ability to communicate in both written and verbal communications
• Keen to learn new skills and develop professional knowledge and competence
• Ability to work independently and as part of a Team

Benefits

• Healthcare cash plan
• Contributory pension scheme (after 3 months of service)
• 25 days’ annual leave (FTE) plus Bank Holidays
• 2 annual Self-Care days (1 day per 6 months)
• Discretionary firm-wide Bonus Schemes
• Enhanced family friendly policies
• Holiday purchase, electric car, and car parking salary sacrifice schemes
• Personal Development Plan to support your career
• Internal Wellbeing Champions to support mental health and wellbeing within the firm
• Agile/Flexi Working Policy
• Staff events