The Opportunity

We have a vacancy for a Compliance Administration Assistant within our legal Compliance team.

This role provides an excellent opportunity to work in a friendly and fast-paced law firm that continues to grow. This role will be part of a small team and is focused on providing legal compliance support to our team of Lawyers and their legal support staff ensuring that we provide high standards of client care whilst ensuring that we meet the demanding requirements of our Regulator.

We are seeking candidates who have previous administration experience in a professional services or legal setting. The candidate should have excellent time management, organisational and IT skills. Attention to detail in this role is essential as is the ability to communicate in both written and verbal communications. We are looking for candidates who are keen to learn new skills and develop their professional knowledge and competence.

The role will suit those with a positive and flexible approach, who thrive under pressure and who take delight in delivering solutions to challenging problems. You should be able to work independently and as part of a Team.

The role

This is an important role as there are numerous activities that require compliance oversight and management to ensure that others (including the Head of Compliance, the Compliance Officer and the firm’s Compliance Officer for Legal Practice) are able to undertake their roles in appropriate timescales. This role will normally have the following responsibilities:

• Provide day to day support to the Head of Compliance and the Compliance Officer.
• Providing support to other senior members of the senior leadership team if needed.
• Assisting with keeping Compliance team records accurate and up to date to comply with regulatory requirements.
• Assisting with maintaining the firm’s records on public registers e.g., SRA, Law Society, Data Protection etc.
• Reviewing, updating, and maintaining Compliance team user manuals and policies.
• Assisting with preparation and conduct of regulatory Audits such as Lexcel, ISO9001.
• Assisting Legal Departments with compliance information for renewal of panel memberships and accreditations.
• Maintain the internal Complaints and Data Protection Registers.
• First point of contact for any Data Breaches.
• Locking and unlocking files.
• Assisting with conflict checks and complaint chronologies.
• Assisting with the annual PII renewal, Practicing certificate bulk renewal, AML data collection and Bi-annual SRA Diversity data collection.
• Overseeing the use of Access Computer Based Training system (used by the firm for regulatory and CQS training), in terms of setting up new colleagues on relevant pathways, dealing with user enquiries, issuing training etc. Running monitoring reports.
• Issuing lists for File reviews, corrective actions and running monitoring reports.
• Checking and reviewing outstanding client onboardings (ID checks).
• Overseeing the CQS process in terms of setting up new colleagues with the Law Society, dealing with user enquiries, collating information and dealing with wider annual re-accreditation.