Risk & Compliance Officer

Chadwick Nott
Devon, England
£28000 - £32000 per annum
19 Feb 2018
19 Mar 2018
Sarah Boxall
Sector/Practice Area
Banking/Finance, Regulatory/Compliance
Vacancy Type
Legal Support, Paralegal
Full time

Our client is a City-led law firm with over 100 partners and 750 staff. With offices across the UK and internationally, they provide a full-service offering - their clients operate in diverse industry sectors and they also act for many high net worth individuals.

An exciting opportunity has arisen within their growing Risk and Compliance Team in Exeter. This role offers the candidate the chance to be involved with the growth of the risk and compliance function within the firm.


  • Analysing and advising on conflicts, confidentiality, insider lists, and information barrier enquiries.
  • Help partners (and other fee earners) to review external clients' terms and conditions of business and engagement letters.
  • Deal with everyday queries from fee earners/Business Services staff on core compliance topics.
  • Deal with queries re the firm's business acceptance processes and with complex AML queries from partners and fee earners.
  • Assist with the implementation of the new centralised business intake system, and workflow.
  • Assist in reviewing the firm's compliance-related policies and procedures are operating as they should, and to identify ways in which they might be improved.
  • Assist with devising and delivering training internally (at all levels) on all core compliance issues.
  • Keep developments in the compliance field under review and proactively to suggest how the firm's compliance-related policies and procedures might be improved, and to lead projects designed to bring such improvements about.
  • Assist in the firm's compliance with the GDPR.


  • To have worked, or be working, in a similar compliance role within a professional services environment.
  • Strong understanding and knowledge of antimony laundering laws and policies specifically within a legal environment.
  • Sound understanding and knowledge of data protection laws and the GDPR.
  • Ability to build trusted relationships with the key stakeholders within the business at all levels.
  • Excellent interpersonal and written communication skills.

For more information, please contact Sarah Boxall at Chadwick Nott

Chadwick Nott Ltd is acting as an Employment Agency in relation to this vacancy.