COMPLIANCE OFFICER (LAW FIRM)

Job Description

Salary: Competitive

My client - a Top law firm based in Central London is looking for an experienced Compliance Officer to join the firm. The Role Being the front line advisor to fee-earners and business teams on a full range of compliance queries, ensuring the company is compliant with all regulatory requirements. The right candidate will maintain a strong compliance environment whilst driving a culture of continuous improvement across all departments. Duties * Maintain an understanding for the main components of risk affecting a law firm, e.g. SRA Code of Conduct obligations, AML and Data Protection rules and any other relevant legal and regulatory obligations. Identify new compliance risks and recommend changes to firm policies and procedures as needed. * Assist the General Counsel, MLRO, COLP and COFA to monitor and adhere to applicable laws, rules and regulations, including compliance with SRA Code of Conduct and Accounts Rules and internal processes. * Act as extension of the General Counsel to ensure appropriate escalation of issues, consult with the General Counsel on such issues once escalated, determine requirements for specialist input and/or external counsel, articulate resolutions and coordinate their implementation. * Providing technical advice to the firm's service lines on data protection matters; and advising on data protection issues arising out of frontline compliance, such as data subject requests, potential data incidents and privacy impact assessments. * Assist the MLRO on ad-hoc tasks and projects such as contribution to individual AML/CDD queries, the assessment of changes to the AML regulations, internal file reviews and input to the AML policies and procedures. * Lead the communications with and submissions to the SRA including: o enquiries, investigations and thematic reviews; o leading the annual renewal of practicing certificates; o profile updates and other notifications; and o maintaining SRA compliance records. * Engaging in compliance projects, including insurance renewals, third party supplier screening, IT upgrades. * Primary point of contact for escalation of client due diligence and onboarding risk factors, and providing comprehensive guidance to the Client Relations team and legal professionals. * Analysing conflict queries escalated by the Client Relations Teams, identifying legal and commercial conflicts, and liaising with fee-earners for resolution as required. Directing the implementation of, and managing, information barriers. * Maintain and update as needed the compliance policies and risk registers, monitoring them against regulatory requirements, best practice and internal compliance requirements. Coordinating stakeholder involvement and external input as appropriate. Please apply directly or send your CV

Job Summary

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