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- Conduct procedural file reviews across all departments of the firm.
- Monitor and act upon alerts from compliance tools such as SmartSearch.
- Handle compliance queries from staff via email and phone.
- Maintain regulatory records through mySRA and support practising certificate renewals.
- Coordinate new starter onboarding from a regulatory perspective, including checks and training.
- Update internal registers (e.g. staff lists, breach logs).
- Deliver internal training sessions to team members and staff on compliance topics.
- Support the Data Protection Lead in responding to data breach incidents.
- Assist in preparation for external accreditations such as Lexcel and CQS.
- Carry out legal and regulatory research as required.
- Review referral agreements in collaboration with the Client Services Team.
- Provide ad hoc support to the wider Risk & Compliance function.
- Knowledge of CDD, Source of Wealth/Funds, and AML (Within a Law Firm)
- Strong interest in compliance, regulatory matters, and legal risk management.
- Exceptional attention to detail and organisational abilities.
- Able to manage tasks independently and handle multiple responsibilities.
- Previous experience in a similar role is an advantage but not essential.
- A minimum of 25 days’ annual leave (plus extra over Christmas)
- Enhanced pension scheme
- Private medical insurance and income protection (with options to extend to family)
- Life insurance (3x salary)
- Travel insurance and interest-free travel/parking loans
- Charitable leave and a range of internal sports, social and wellness initiatives
- Mental health and wellbeing support through EAP and trained in-house First Aiders
