Compliance Officer

My client is a reputable high street practice in Stoke on Trent. Due to growth and continueed success they now require a competent Compliance Officer.

The main aim of this role is to ensure that the Firm and the staff are fully compliant with all the regulatory and statutory obligations placed upon them.

Key Roles
To act as Compliance Officer ensuring all requirements of risk and compliance are implemented, managed and addressed throughout the Firm
To assist the MLRO, COLP & COFA in his daily duties
To lead and support the Firm and its staff towards the attainment of the Law Society Lexcel Quality Standard and the WIQS practice management standard
Providing a risk and compliance assistance and support service to the Firm and its staff
Assisting the Office Manager on an ad hoc basis

Main Responsibilities
To maintain and update the Firm's risk and compliance central registers and files
Ensure systems are in place for monitoring, reviewing and managing risks
Ensure that all regulatory, statutory and other key Firm deadlines are met
Provide training and information to all staff on the SRA Code of Conduct and internal compliance
Provide risk and compliance progress reports to the Practice Management Team, and to staff when appropriate
Overseeing and maintaining internal policies and procedures to ensure they are compliant in accordance with SRA guidelines, UK Law and Lexcel
To undertake research to ensure that any regulatory changes are implemented throughout the Firm and communicated to staff
Ensure that the Firm and all staff adhere to SRA guidelines, and internal policies and procedures
First point of contact for responding to client complaints
Supporting the Firm in maintaining the CQS accreditation
Comply with any in-house or external training requirements of the firm.
Engaging with and motivating staff in areas of risk and compliance

Candidates who are interested should apply immediately, this law firm is very popular, treats its staff very well and offers a "family feel" culture.

Please contact Connor Franks, Recruitment Consultant, to discuss the role in more detail or apply through the vacancy for immediate consideration.

Douglas Scott are a legal recruitment expert and the UK's leading law firms trust us with their legal vacancies. We are a regulated recruitment consultancy and will discuss this role and seek your approval before submitting an application directly to the decision maker.

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