Compliance Officer - Southampton

QED Legal
England, Hampshire, Southampton
£38000.00 - £45000.00 per annum
04 Apr 2018
02 May 2018
Gary Longmate
Practice area
Practice manager
Full time
Contract type

Compliance Officer - Southampton

A Chambers Top Ranked firm with very realistic ambitions to break into the Legal 100 with a defined strategic growth plan in place. The firm are established in a number of locations across the Southern counties. With successful teams in all major areas of law, a broad list of high quality commercial clients, HNW private individuals and high value contentious work they now seek to add specialist experience in the form of the newly created role of Compliance Officer .

As the Compliance Officer you will work closely with the firms management and leadership team to ensure that all firm members from Directors to the management and wider employee base are aware of the legal regulatory framework under which the firm operates. No only will that include an awareness programme of the regulatory requirements but also codes of conduct and best practice in line with the existing policies and procedures as well as maintaining knowledge of all relevant industry change affecting the firm.

The role is varied and will involve a variety of duties that will include but not be limited to:

  • Execute risk assessments to assess the level, significance and scope of risk affect
  • Monitor internally compliance with laws, regulations and conduct
  • Maintain and Monitor changes in relevant laws and regulations affecting the firm
  • Investigate flagged Issues of non-compliant behaviour
  • Document findings , outlining any needs for change and ensure changes are fully implemented
  • Create a firm wide culture of awareness regarding regulations and impact to the firm regarding 'non-compliance'
  • Provide reports to management on current risk and compliance environment
  • Review and authorise marketing materials, presentations and websites to ensure compliance with regulatory requirements
  • Provide data and information from time to time as per the request of the regulator

As an already experienced Compliance Officer you be able to demonstrate your knowledge of the existing regulatory framework governing the legal sector. You will be comfortable in managing and executing a compliance procedure across a multisite legal firm. You will be given a great deal of responsibility and autonomy, as this is a new role with full scope across the firm at several sites and presents an excellent opportunity to use your acquired expertise to its very fullest and create an excellent professional reputation within the firm and amongst your peers.

This is also an incredibly opportune time to join this firm and doing so will provide you with the genuine career prospects and further professional development that you would naturally be seeking as an ambitious legal compliance professional.

In addition to the above, the firm provides a very modern and comfortable working environment with up to date IT infrastructure and benefits from an excellent and very personable leadership team. There's a professional yet very friendly culture that is tangible and events and initiatives in place to ensure people know each other across the business and at all levels. A comprehensive benefits and remuneration package exists including a bonus scheme which is spread across regular intervals throughout the year.

For further details please contact Gary Longmate or register your interest direct online through this ad.