Senior Risk & Compliance Executive
Our client is independently rated by The Legal 500 and Chambers Directory as one of the leading providers of legal services within health and social care, professional discipline and social housing. They are currently recruiting a Senior Risk & Compliance Executive. This role will be based in their Wimbledon office and will assist the Head of Risk to achieve compliance with the requirements of the SRA and the ICO, and to maintain the firm's accreditations: ISO9001 (quality assurance) and ISO27001 (information security). You will also be expected to engage with members of the firm across their offices to assist in promoting an understanding of risk to drive compliance, continual improvement and improve the client experience. You will report to the Head of Risk and work alongside a Risk & Compliance Executive and a Risk and Compliance Coordinator in a team of four.
The role will include:
- Supporting the Head of Risk and the team to maintain and promote a best practice culture across the firm;
- Working with division heads and staff across the firm to ensure that effective and proportionate compliance controls are implemented in project planning to ensure the firm can comply with its regulatory obligations and maintain its quality standards;
- Managing the quality management cycle for the firm's ISO accreditations;
- Coordinating internal and external audits, guiding solicitors when conducting their audits, and carrying out selected internal audits; and
- Reviewing and updating the firm's policies and procedures in conjunction with division heads and senior management to ensure the firm meets the requirements of its quality standards and regulatory requirements;
- Contributing to the maintenance of the firm's risk registers;
- Handling queries on issues of professional conduct, regulatory issues and internal procedures (e.g. maintaining confidentiality/new client AML checks/conflicts checks).
- Educated to degree standard or equivalent;
- Experience of working in a similar role/related area including dealing with complex compliance issues and managing a quality management system (preferably ISO9001) within a law/legal services firm;
- Project management experience;
- Experience of handling professional conduct, AML and conflicts queries;
- The ability to identify how effective risk management can improve the client experience;
- Excellent IT skills (in particular Excel and Power Point) and a working knowledge of Sharepoint is desirable.
For more information, please contact Sarah Boxall at Chadwick Nott.
Chadwick Nott Ltd is acting as an Employment Agency in relation to this vacancy.