Senior Risk & Compliance Officer – St Albans

We are recruiting for a Senior Risk & Compliance Officer to join our expanding team, to be based in St Albans. This is a brand new role for the firm and we are looking for experienced candidates who can perform the following responsibilities:

  • Monitoring all compliance requirements (including any new requirements, and changes or updates to existing requirements) demanded of the members of the firm by the SRA, Law Society and Legislation.
  • Assisting in the regular reporting of risk and compliance issues and maintenance of registers.
  • Leading the Lexcel accreditation process and risk and compliance audits.
  • Drafting, developing, implementing and monitoring firm-wide standard forms, policies, procedures and practical guidance.
  • Providing support in handling complex complaints from clients and PII claim/ circumstance notifications.
  • Providing risk and compliance training firm-wide.
  • Providing backup when required with the annual renewal of the firm’s professional indemnity and associated insurance programmes.
  • Support conflict checking and Anti-money laundering (AML) and client due diligence matters (CDD).
  • Providing assistance and guidance to the COLP and COFA in connection with the firm’s management of overall risk.

We are looking for candidates with the following skills and experience:

  • A minimum of 3 years’ risk management experience gained within a legal services environment, including Lexcel audits.
  • Detailed knowledge of SRA Handbook and, in particular the requirements of the SRA Code of Conduct.
  • Experience of handling complex complaints and PII claims/circumstances notifications
  • Experience of policy drafting/ implementation and training.
  • Excellent written and verbal communication skills, for example clear, firm and diplomatic.
  • Strong commercial aptitude with a modern, pro-active approach.
  • Proven ability to effectively manage workload.
  • Proven effective project management and independent thought.
  • Highly PC literate with good Excel and database management experience.
  • Excellent attention to detail together with a methodical and organised approach.
  • Able to influence and build strong working relationships with internal clients and colleagues in a collaborative and supportive manner.
  • Understanding of confidentiality issues.
  • A hands on approach to problem solving

Salary is competitive and benefits are generous.

Please apply by sending your CV and covering letter to

No agencies please.

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