A regional Law firm is looking for someone to join their risk and compliance team to support the head of risk and compliance.
What background are they looking for
You may already have a background in Risk & Compliance, or you could be a solicitor looking to transition into a different practice area. The key requirements are a solid understanding of SRA regulations, AML requirements, and GDPR, alongside a balanced, solutions-focused mindset and a proactive approach to preventing issues rather than simply resolving them after they arise.
Responsibilities
- Regulatory & Ethical Advice
- Giving advice on the SRA Standards and Regs, confidentiality, conflicts, and client care.
- Supporting ethical decision making across the firm.
- AML
- Advising on source of funds/source of wealth, high risk clients, politically exposed persons, and complex transactions.
- Dealing with SARs and compliance queries.
- Inbox & Enquiry Management
- Dealing with and respond to enquiries from the Professional Standards inbox.
- Governance, Audits & Quality Assurance
- Assisting with internal and external audits and quality checks.
Required experience
- Legally qualified (Solicitor, Barrister or CILEX lawyer) who has a knowledge of SRA regulation, AML requirements, GDPR, and professional standards or very strong experience in a risk and compliance role within a Law firm
- Who has excellent written communication and strong IT skills.
- Has good judgement and a solutions focused approach.
- Has the ability to handle sensitive and confidential matters with discretion.
This is a hybrid role and the expectation is to be in there Nottingham office 3 days a week.
