Compliance Officer
Full job description
Ward Rider Solicitors is a well-established and respected law firm with a history spanning over 75 years. With offices in Coventry/Leamington/Kenilworth, we are dedicated to providing high-quality legal services to our clients.
An excellent opportunity has arisen for a Compliance Officer to join our team.
The ideal candidate will ensure a company adheres to legal, regulatory, and internal rules and policies.
The Candidate
The successful candidate will need to be:-
Technically proficient with at least 2 years’ experience within a compliance role;
Possess excellent verbal and written communication skills;
Someone who strives for high standards in their work at all times;
A pro-active team player who is equally confident working on their own initiative;
Is highly organised, and able to balance simultaneous projects.
The Role
Main duties will include but not limited to:-
Dealing with stage one complaints, and assisting with stage two complaints where required by the Directors;
Liaise with the SRA and Legal Ombudsman where required;
Submit breach reports;
Maintain records of all breaches, complaints and risk related issues;
Manage and maintain documents relating to CQS accreditation and assist with other accreditations;
Ensure claims history is up-to-date and liaising with professional indemnity insurers on any ongoing matters;
Conduct compliance file reviews, and ensure independent file reviews are completed;
Carry out quality reviews of individual departments to look at potential risks and ensure that plans are put in place to minimise risks;
Ensure that all policies are up to date and compliant with associated legislation and regulator guidance;
Maintain the policy review schedule and ensure that all policies are regularly reviewed in accordance with it;
Oversee Company insurance renewals;
Undertake annual training and training of new starters for relevant areas.
Support staff with compliance queries, including client onboarding and conflicts.
Salary will be dependent on experience.
Job Types: Full-time, Permanent
Benefits:
Company events
Free parking
Health wellbeing programme
Sick pay
Schedule:
Monday to Friday
Experience:
compliance : 2 years (required)
Work authorisation:
United Kingdom (preferred)
Work Location: In person
Apply Now
Ward Rider Solicitors is a well-established and respected law firm with a history spanning over 75 years. With offices in Coventry/Leamington/Kenilworth, we are dedicated to providing high-quality legal services to our clients.
An excellent opportunity has arisen for a Compliance Officer to join our team.
The ideal candidate will ensure a company adheres to legal, regulatory, and internal rules and policies.
The Candidate
The successful candidate will need to be:-
Technically proficient with at least 2 years’ experience within a compliance role;
Possess excellent verbal and written communication skills;
Someone who strives for high standards in their work at all times;
A pro-active team player who is equally confident working on their own initiative;
Is highly organised, and able to balance simultaneous projects.
The Role
Main duties will include but not limited to:-
Dealing with stage one complaints, and assisting with stage two complaints where required by the Directors;
Liaise with the SRA and Legal Ombudsman where required;
Submit breach reports;
Maintain records of all breaches, complaints and risk related issues;
Manage and maintain documents relating to CQS accreditation and assist with other accreditations;
Ensure claims history is up-to-date and liaising with professional indemnity insurers on any ongoing matters;
Conduct compliance file reviews, and ensure independent file reviews are completed;
Carry out quality reviews of individual departments to look at potential risks and ensure that plans are put in place to minimise risks;
Ensure that all policies are up to date and compliant with associated legislation and regulator guidance;
Maintain the policy review schedule and ensure that all policies are regularly reviewed in accordance with it;
Oversee Company insurance renewals;
Undertake annual training and training of new starters for relevant areas.
Support staff with compliance queries, including client onboarding and conflicts.
Salary will be dependent on experience.
Job Types: Full-time, Permanent
Benefits:
Company events
Free parking
Health wellbeing programme
Sick pay
Schedule:
Monday to Friday
Experience:
compliance : 2 years (required)
Work authorisation:
United Kingdom (preferred)
Work Location: In person