Risk and Compliance Manager

Clayton Legal are currently recruiting a Risk and Compliance Manager for our Client who are based in the Guildford Area. The Opportunities:

We are seeking to recruit a Risk and Compliance Manager to manage the firm’s risk and compliance function.

Duties and Responsibilities:

General duties include, but are not limited to:

• Providing a best in class internal risk and compliance function;
• Performance of the day to day tasks delegated by the COLP, COFA, DPO, Complaints / Claims officer and MLRO and regular liaison with these postholders;
• Risk and compliance management with knowledge of SRA and FCA compliance models;
• Assisting staff with conduct questions (e.g. conflicts) and reporting;
• Assisting staff with AML questions and reporting;
• Complaints and claims risk management;
• Practicing certificate renewals;
• Review, monitoring and updates of firm’s policies & procedures;
• Performance of file verifications and associated follow ups;
• Compliance record keeping, monitoring and reporting;
• Running new starter compliance sessions and embedding good practice;
• Creation and delivery of bespoke compliance training for staff;
• Compliance audits; and
• General compliance awareness activities.

Qualifications and Skills:

• At least 5 years experience in legal or financial services risk and compliance management
• Risk or compliance based qualification(s)
• Impeccable attention to detail
• Clear and consistent communication skills
• Ability to condense and simplify legal principles for others
• Up to date knowledge of risk and compliance requirements in the legal profession

The Perks:

• Competitive salary based on experience.
• Generous Bonus Scheme
• Free car parking for your convenience.
• Comprehensive benefits package including a pension, enhanced maternity and paternity pay, 25 days holiday plus an additional day for Christmas closure and Perkbox benefits.
• The opportunity to learn and grow within a supportive and dynamic team.