Compliance Officer

Compliance Officer - Chester

£doe plus excellent benefits inc. 5 weeks holiday (increasing with long service), enhanced pension, healthcare scheme, death in service (4 x annual salary), pension and more….

A highly reputable law firm with offices in Chester and Shrewsbury and more than 20 recommendations from the two main independent legal directories, Legal 500 and Chambers & Partners, is looking to recruit an experienced Compliance Officer to join it well established Risk and Compliance Team.

Working closely with the Compliance Manager/MLRO/COFA to investigate and deal with daily AML and compliance queries from the business including, but not limited to source of funds checks, policy and GDPR queries.

Key Duties

• Working closely with the Compliance Manager/MLRO to record and report on money laundering activities where appropriate.
• Working closely with the Compliance Manager/COLP/Complaints Officer to deal with complaints, including investigating the details of the complaint and completing a root cause analysis to identify areas for improvement across the Firm where appropriate.
• Ensuring that all complaints, data breaches and undertakings are accurately recorded on our internal reporting system.
• Liaising with our PI Insurer/broker dealing with PII claims and notifications.
• Managing and conducting compliance file reviews on selected matters across all fee earning teams.
• Coordinating and assisting with the annual returns for the Firm’s various quality and compliance accreditations including Lexcel, CQS and WIQs.
• Working with other members of the team dealing with daily compliance operations including file opening to ensure delivery of a consistent business support function firmwide.
• Liaising with the SRA and Law Society to ensure all regulatory records are maintained accurately.
• Attend Practice area team meetings to brief them on key focus area and changes in Governance.
• Prepare training materials and deliver updates and training to new starters and existing team members as necessary.
• You will complete files reviews as part of our Quality Assurance plan and work with the Compliance Manager to communicate back to the individuals, line managers and Management as needed.
• Deputising for the Compliance Manager in their absence and as required.

Essential Skills and Experience

• Excellent AML and regulatory compliance knowledge is essential as is previous experience of working in a busy compliance department (ideally within a law firm but those with a strong finance industry background will also be considered).
• Make time to stay up to date with changes in relevant Risk, Compliance & Governance considerations and work with the Compliance Manager to review Policies and Procedures to ensure the Firm remains compliant.
• You will be a confident person with excellent communication skills and the ability to work well as a member of a team but also independently where required with minimal supervision.
• Organisational skills are essential for this role as are Microsoft Word and Excel skills.
• You will have the ability to manage and prioritise your work; with high levels of accuracy and attention to detail and the ability to act promptly on instructions received.
• An ability to communicate and build/maintain relationships with team members, fee earners and external stakeholders is essential and to visit other offices to support the wider team.

To apply for this role please contact Sarah Dyehouse at Anderson Scott Solutions

.