Capsticks LLP
Governance & Risk Analyst
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Location - Birmingham, Leeds or London
Hybrid Working
This is an exciting opportunity for someone who has gained experience previously in a law firm Risk and Compliance team, and who is now seeking to further expand their experience and knowledge in this varied generalist role.
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 primary focus of this role will be responding to routine queries and assisting with long term strategic projects within the Division.
The Analyst will also assist the Operations Team to ensure compliance with the regulatory requirements of the Solicitors Regulation Authority and ICO and for dealing with data protection, subject access and other requests under the legislation and information security principles.
The G&R team operates into two teams, which work very closely alongside one another:
- the Operations Team - which this role sits in, deals with a wide range of compliance queries on a daily basis as well as managing our information security management and quality management systems.
- the Complaints and Claims Team - deals with claims and circumstances, client complaints and related improvements.
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 Governance & Risk Manager.
Main Duties and Responsibilities:
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- Managing the life cycle of compliance queries and notifications, such as information security incidents, data breaches, and other queries received by G&R, including SRA conduct queries.
- Assisting with the review of CDD and AML queries, running verification checks and assisting with the collation of documentation.
- Reviewing and triaging conflict queries.
- Assisting with the management of information barriers within the case management system.
- Assisting with subject access and data deletion requests.
- Assisting with organising and delivering compliance training across the firm.
- Assisting with preparing reports and papers for various committees.
- Assisting with the organisation of external audits and taking part in these as and when required.
- Carrying out planned internal audits (training will be given) for the firm’s accreditations and monitor the completion of corrective actions.
- Attend legal divisional meetings to report on governance and risk issues.
- Work with our divisional compliance champions to gain an understanding of the work of the legal and business service divisions and promote good governance & risk management.
- Assist with drafting new and updating current policies and procedures.
- Suggest, log and monitor improvements.
- Undertake horizon scanning for any new developments in the legal risk and compliance sphere.
- Creating and circulating compliance alerts and updates.
- Assisting with firmwide and team projects.
Candidate Requirements:
- Educated to degree standard or equivalent.
- At least one year of hands-on experience of working in a compliance team in a law firm and knowledge of the requirements of the SRA Handbook, SRA Code of Conduct and AML Regulations.
- A keen interest and a strong understanding of current compliance issues.
- The ability to work calmly under pressure, juggle deadlines and manage the expectations of internal clients.
- Advanced skills in Microsoft Excel (including use of formulae and pivot tables) and data manipulation.
- An effective communicator who is adept at building relationships across the firm.
- A willingness to learn about new subject areas and new skills.
- Demonstrable experience of working in a team.
- Commitment to meeting consistently high standards whilst ensuring attention to detail.
- A self-motivated proactive approach and the ability to manage your own workload.
- A willingness to share ideas and suggest improvements.
- A willingness to travel to other offices as needed.
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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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