Overview
Risk and Compliance – Bournemouth
We are thrilled to be working with this Legal 500 and leading Bournemouth practice who are looking for an experienced Risk and Compliance Executive to join them.
Reporting to and working directly with the firm’s Risk and Compliance Manager, the successful candidate will collaborate closely with fee-earners to ensure adherence to all legal, regulatory, and professional standards.
The Risk and Compliance team play an integral role and handles a variety of essential tasks, including:
- Staying updated on emerging risk issues and regulatory changes to enhance risk and compliance across the firm.
- Providing accurate and timely legal, regulatory, risk, and compliance advice and guidance.
- Delivering risk and compliance training.
- Reviewing and updating existing compliance policies, plans, controls, and procedures.
- Drafting and implementing new policies, controls, and procedures to ensure regulatory compliance.
- Managing the integration of new regulatory processes and procedures.
- Overseeing the internal file review process, analysing data, and reporting findings.
- Handling any complaints, incidents, and breaches, including data analysis and recommending preventive measures.
- Maintaining compliance registers.
- Preparing notifications for the firm’s professional indemnity insurer, liaising with brokers/claims handlers, and managing the annual renewal of PI insurance and other policies.
- Assisting with the renewal of the firm’s Conveyancing Quality Scheme (CQS) accreditation and ensuring compliance with the same.
- Supporting the MLRO/MLCO in compliance with Money Laundering Regulations.
- Assisting with the firm’s annual authorisation application and bulk practising certificate renewal.
The successful candidate need to have a solid understanding of the SRA’s standards and regulations, Ideally, this would suit a lawyer with previous fee earning experience, who now has a background in risk and compliance or has solid experience in a fee-earning role and would like to change their work dynamic.
Excellent communication and organisational skills with strong attention to detail are essential.
To find out more about this opportunity and to see a full job description, please contact Hannah Somers at Chadwick Nott on 0117 917 1929 / 07435 943 574 or hannahsomers@chadwicknott.co.uk
*Where a level of experience is indicated, this is a guideline only and represents the amount of time we would usually expect a candidate to accumulate the requisite level of experience. This does not preclude applications from candidates with more or less experience.
Job Tenure: Permanent and Full-Time
Salary: Negotiable
Location: Bournemouth, Dorset
