Capsticks LLP
Governance & Risk Analyst
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Location - Birmingham, Leeds or London
Hybrid Working
The Division
The Governance and Risk (G&R) team is responsible for the development and maintenance of effective risk management and compliance standards at Capsticks. We work closely with both legal and business service divisions through heads of division, directors of service and compliance champions across the firm's five offices to manage quality, embed risk management, compliance and continuous improvement to aid delivery of an excellent client experience.
G&R's role is to achieve compliance with the requirements of the SRA and the ICO, and to maintain the firm's ISO accreditations. The team has seven members and is split into two teams: the Operations Team - dealing with the day to day queries and information security and the Compliance & Quality Team dealing with complex conduct queries, development of policy, managing the firm's insurances/ circumstances and claims and the running of the quality management system.
The Role and Responsibilities
This is a hands-on role as a member of the busy Governance and Risk (G&R) team who are responsible for the development and maintenance of effective risk management and compliance standards at Capsticks. The Analyst will assist the Compliance & Quality team to ensure we achieve compliance with the requirements of the SRA and the ICO, and maintain the firm's ISO 9001 accreditation.
The G&R team, 8 team members, is split into two teams:
- The Operations Team - deal with the G&R inbox that receives a wide range of compliance queries on a daily basis as well as managing our information security standard, ISO 27001
- The Compliance & Quality team - deal with complex compliance queries, development of policy, managing insurance, dealing with claims and circumstances, and running the quality management system.
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G&R engage with both the firm's legal and business service divisions, across our five offices, to promote the benefits of good risk management, drive continuous improvement to enhance the client experience and ensure compliance with our legal and regulatory obligations.
The analyst will report to the Director of Governance & Risk.
Main duties
- Supporting the Senior Governance & Risk Executives to maintain our ISO 9001 accreditation
- Assist with logging and updating spreadsheets
- Undertaking file audits
- Assist with the organisation of external audits and take part in these as needed
- Working with our divisional compliance champions to gain an understanding of the work of the legal and business service divisions
- Co-ordinate the updating of policies and procedures
- Attend divisional meetings to report on governance and risk issues
- Co-ordinate the claims register and liaise with external insurers to provide updates
- Assist with collating information for the firm's indemnity insurance and other insurance renewals
- Research to assist with the drafting of policy, procedures and committee papers
- Assist with logging and monitoring improvements
- Assist with preparing papers and reports for various committees
- Conducting the monthly bogus firm review
- Assisting with weekly horizon scanning
- Creating and circulating compliance alerts and updates in conjunction with the G&R Operations Team
- Delivering compliance training
Skills And Experience
- Educated to degree standard or equivalent
- Experience of working in a law firm compliance role
- Knowledge of the requirements of the SRA Handbook, SRA Code of Conduct, AML Regulations, General Data Protection Regulations, quality management systems, preferably ISO 9001
- Show an understanding of current compliance topics
- The ability to work calmly under pressure, juggle deadlines and manage the expectations of internal clients
- Excellent IT / Microsoft Office skills (in particular Excel and Power Point) and be able to tailor communications to different audiences
- A willingness to share ideas and suggest improvements
- The willingness to go the extra mile to deliver
- Demonstrable experience of working in a team
- Commitment to meeting consistently high standards whilst having attention to detail
- Willing to travel to other offices as needed
- A self-motivated proactive approach and the ability to manage your own workload
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Capsticks is an inclusive employer
At Capsticks we value diversity and we are committed to creating an inclusive and supportive working environment where everyone is able to be themselves and reach their full potential. Capsticks is committed to providing equal opportunities for all and therefore we welcome the unique contributions that you can bring in terms of your education, background, culture, ethnicity, race, nationality, sex, sexual orientation, gender identity, age, disability, neurodiversity, religion and beliefs.
We will make reasonable adjustments to our application and interview process to ensure that you have the best chance of success. We understand that there's not a "one size fits all" approach to adjustments so our team will work with you individually to understand more about your requirements.
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