The firms strength and depth of practice areas, deep sector knowledge, enviable client relationships and level of staff engagement are what sets it apart from competitors. With offices throughout Kent, it serves a broad range of clients from private individuals and their families and businesses, to SMEs, multinational corporations, educational establishments and other public sector organisations.
Theres a strong spirit of collaboration and support, which still underpins everything the firm does and is reflected by the fact that when people join us, they generally stay. This is a great opportunity to join a dynamic firm with a reputation for delivering outstanding client service.
Role purpose
The main purpose of this role is to implement and support the firms regulatory, certificate and governance compliance and to provide recommendations to support the firms goals and objectives.
- Working with Risk and Compliance Director to ensure all SRA and FCA regulations are adhered to
- Assist in developing, implementing and coordinating the firms risk management strategy
- Support with the ISO environmental and quality assurance systems across the firm
- Ensure all systems, processes and documentation meet needs of clients
- Supervise team members
- Prepare and undertaker inductions for new staff members
- Enhance and maintain a culture of Risk Management supported by policies and guidance
- Assist the Risk and Compliance Director in their role and support the risk team members
- Maintain and update policies
- Ensure staff understand policies and receive training and assistance where needed
- To monitor registers e.g. risk, complaints, undertakings and actions identified through quarterly meetings with risk team representatives
- Undertake audits
- Oversee bulletins issued for Risk and AML
- Point of contact for GDPR queries and support DPO
- Support as required for the MLCO AND MRO
- Maintain knowledge of AML, SRA, FCA, ISO and share best practice
- Research legislation, government directives, contractual analysis and any other areas within the remit of quality and risk
- Ensure continual training in the Rules is provided to all new joiners, existing fee earners and office staff and to act as the internal reference point for interpreting and clarifying the Rules
- Support the environmental and quality assurance program (currently Law South Standard FCA, ISO 9001 and 14001)
- Ensure all systems (IT and paper) for holding and processing client data are compliant with prevailing legislation
- Ensure all work is carried out in accordance with any quality assurance system or service quality standards
- Monitor and evaluate performance against standards or agreed targets. Use audits, and corrective action to ensure continuous improvement. Prioritise and escalate issues resulting in non-compliance
- Report on the findings of monitoring and evaluation processes and make recommendations as appropriate
- Provide internal training on standards as required and support staff involved in annual assessments
- Assist with queries on processes
- Support with ISO27001 accreditation
We would like to hear from individuals who wish to be part of a legal practice that prides itself on true teamwork in the delivery of excellent client services. Our vision "with you all the way" is our commitment to both clients and staff.
The Risk and Compliance Manager will provide support across all teams and therefore we would expect them to be able to demonstrate their ability to engage with people to ensure the right results are achieved. Additionally, they will have the confidence, enthusiasm, and skillset to support the aims and goals of the firm as it moves forward with its ambitious business plans. In particular we are looking for good organisational skills, the ability to problem solve, a decision-making aptitude and strong ethical standards with high levels of integrity.
Ideally they will have worked in a lead role in risk and compliance within a professional services setting such as a law firm, financial services, banking or accountancy. A good understanding of the SRA handbook or the FCA handbook and AML would be essential to the role. It would be an advantage to have knowledge of ISO9001, ISO14001 and but this is not essential.
