Compliance Officer Ad

Compliance Officer Ad


Responsible for all tasks involved in achieving ongoing compliance with the SRA Standards and Regulations and the Law Society rules and regulations for both CQS and Lexcel accreditation.

Skills and Responsibilities

Delivery of a robust compliance monitoring programme:

  • Create and maintain a compliance monitoring plan.
  • Perform risk based and thematic compliance monitoring reviews ensuring key compliance risks are covered and adequately reported. Tasks to include, but not limited to:
    • Annual review of all firm policies and procedures.
    • Preparing annual analysis of risk data.
    • Reviewing and monitoring of GDPR requirements.
    • Conducting monthly file reviews and monitoring corrective action.
    • Reviewing and responding to client complaints, including reviewing files, drafting responses and ensuring complaint records are up to date.
  • Identify compliance risks, breaches and other areas of compliance vulnerability.
  • Clearly communicate findings and recommendations.
  • Develop and continuously improve the compliance monitoring processes, procedures and controls systems.

Knowledge of Compliance Caddy, or similar compliance software, would be advantageous. Salary will be dependent upon experience. This is a part-time role and will be 16 hours per week, though flexibility can be given as to specific days/hours.

Please send CV and covering letter to Jennene Warmington

This firm welcomes applications from all sections of the community irrespective of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex and sexual orientation.