This role is an exciting new opportunity to take charge and ensure the quality of this law firm’s risk function, based in Leeds. You will support the COLP and MLRO to maintain and promote a high standard of regulatory compliance with the SRA guidelines, while protecting the interests and reputation of the firm. In this position you will be the firm’s quality ambassador, liaising with all departments to develop, monitor, and ensure compliance with quality standards such as Lexcel, ISO9001, and CQS.
Responsibilities Include:
- Providing advice on a range of risk issues affecting the firm,
- Handling and resolving complaints, whilst recording and analysing all relevant information from complaints.
- Providing advice on a range of risk issues affecting the Firm with a focus on client inception, file opening, file closing, potential conflicts, complaints, and concerns.
- Supporting the MLRO/MLCO to ensure compliance with AML/CTF regulations and best practice, including maintaining and updating the firm-wide risk assessment.
- Providing advice with CDD and source of wealth/funds compliance.
- Investigating and responding to regulatory investigations and enquiries.
- Assisting the business identifying, assessing, and mitigating risks and controls,
- Composing and conducting risk management training.
- Maintaining up to date knowledge of statutory, legal, and compliance issues.
- Managing the policy review program
- Drafting new policies and procedures as required
- Managing the peer-to-peer file review process
- Conducting audits in accordance with the firms quality audit program. This will be particularly relevant to the requirements of Lexcel and ISO9001 standards.
The ideal candidate will have expertise in risk management and quality assurance. They will have excellent communication skills, be able to collaborate across all levels of the business, and have the confidence to raise the alarm when necessary and bring risks to light. This firm has an excellent culture and are commercially minded, so they would be seeking someone similar that can develop a strategy to continuously govern the firm.
