Senior Compliance Officer

Main duties and responsibilities
Providing support to the firm’s COFA in:
Assisting Accounts and Finance teams on their development of systems and    controls for their compliance with the SRA’s Accounts Rules

• Managing complex queries from fee earners and Accounts related to the Solicitors’ Accounts Rules, identifying and addressing any potential areas of non-compliance (e.g. payments, residual balances, third party managed accounts)
• Assisting with preparation for the annual finance auditor’s visit and relevant aspects of the annual bulk practising certificate renewal
• Auditing processes, planning training

Providing support to the MLRO and Anti-Bribery Officer in the management of:

• The firm’s client onboarding/due diligence/sanctions and PEP procedures, manual and automated
• AML and anti-bribery risk assessment policies/procedures
• Management of AML, KYC, anti-bribery queries and concerns
• Reports to the NCA
• Auditing processes, planning training,
• Management of the conflicts policy and conflicts checking procedures to include:
• Implementation and monitoring of processes, manual and automated
• Handling queries and concerns
• Route for management of potential conflicts at a senior level
• Planning and delivery of training

Providing support to fee earners and business services staff answering their queries on regulatory requirements, primarily on SRA Accounts Rules, AML and KYC requirements, probate and insolvency, anti-bribery and internal firm processes for compliance with SRA Codes of Conduct.

Supporting the communication and delivery of compliance requirements for any external audits of the firm’s processes to include maintaining Lexcel accreditation, preparation for and conduct of Lexcel assessments.

Managing the relevant registers (e.g. queries and concerns, breaches), to identify improvements to make, implement and monitor action plans, measuring their effectiveness, ensuring that milestones are met and communicating results in written reports,

Working with the Project Management Office (PMO), IT and Learning & Development teams on the development of compliant processes, workflows, and training to implement.