Risk and Compliance Manager
3 days left
A broad Risk & Compliance Manager role sitting as part of a Professional Standards team in a Leeds based law firm. The organisation's focus is on clients in financial services, all work is business to business.
This Risk and Compliance Manager role is based in Leeds, the law firm recruiting is a property focused firm. The firm supports businesses in the Financial Services sector.
This Leeds based Risk & Compliance Manager role involves:
- SRA Code of Conduct - dealing with queries from the business including managing conflicts of interests; assisting in investigating breaches and escalating as required to the AD - Professional Standards; assisting the AD - Professional Standards in drafting firm-wide policies and processes; managing relevant regulatory renewals.
- DPA/AML - dealing with queries from the business; assisting in investigating breaches and escalating as required to the AD - Professional Standards; assisting operational departments in dealing with Subject Access Requests; assisting the AD - Professional Standards in drafting firm-wide policies and processes.
- Monitoring and reporting on key regulatory developments; assisting the AD - Professional Standards in implementation of regulatory/process changes; drafting change requests as appropriate.
- Risk Management - liaising with operations, the Exec and Group to manage the risk framework, reporting on key issues and trend analysis and providing input into the firm's risk dashboard.
- Monitor the Compliance inbox and deal with queries raised.
- Compliance input into client due diligence audits and questionnaires.
- Input into the content of the Compliance training programme; delivery of ad hoc informal training on compliance topics as required.
- Supporting the Operations Director in the design and management of Business Continuity planning and testing.
- Operate in accordance with the company values
- Adhere and comply to Legal policies and procedures relating to work and behaviour
- Work with colleagues across all teams/departments/sites to enable the business to carry out client work in a way that is risk-effective and conforms to our regulatory requirements.
- Complete annual regulatory training as required within timescales
This Leeds based Risk & Compliance Manager role requires:
- Compliance experience gained in a law firm
- Data protection experience desirable but not essential
- Other desirable compliance experience: conflicts of interest, AML, sanctions, onboarding, anti-bribery and corruption, ethics, SRA incidents & renewal, health & safety
- Experience gained working in an advisory role (advising on compliance)
- Ideally educated to a degree level
- A compliance professional or a qualified lawyer focused on compliance
Please enquire for full benefits and salary