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- Supervise and manage the compliance mailbox, overseeing the team of analysts to ensure timely and effective query resolution.
- Lead the file review and internal audit processes.
- Advise on ad hoc risk and compliance matters across various departments.
- Work with the internal solutions team to design and implement robust compliance processes (e.g., client and matter risk assessments).
- Review agreements to ensure regulatory compliance.
- Maintain and develop key documents, such as the firm’s compliance plan, risk register, and departmental risk assessments.
- Take ownership of specific policies and procedures as allocated within the team.
- Deliver training sessions on compliance issues to support wider business understanding and adherence.
- Support the Risk & Compliance Director with complaints handling processes, including potential oversight of the firm’s complaints function.
- 5+ Years of Legal Compliance experience - MUST BE IN A GENERALIST ROLE
- Previous experience of line management is essentialÂ
- Strong Working knowledge of the Legal Compliance world
- Experience in Complaints Handling or a demonstrabble understanding of complaints procedures (beneficial)
