Risk and Compliance Officer

Have you worked in Risk and Compliance and are now looking to join an employer that will offer you endless opportunities to progress and develop in your career?

Do you want the opportunity to make a positive impact from day one?

Do you want to build your career within the legal industry?

Proddow Mackay Solicitors LLP provides services to several business units forming part of the PM Law Group. As a Law Group we were established over 30 years ago. Within our group of companies, we have our own in-house Risk and Compliance team. We have successfully evolved and expanded over the years to now have a group workforce of over 350. We are a Multi Award-Winning Employer offering an array of legal services which coupled with our visions for further expansion makes us a force to be reckoned with!

As our new Risk and Compliance Officer you will assist the Head of Compliance, COLP and COFA in ensuring that all activities carried out by the business meet the regulatory requirements of the SRA and applicable industry legislation, including data protection and anti-money laundering regulations.

This is an ideal opportunity for a confident and enthusiastic professional with a background in compliance who wants to make a difference.

Role responsibilities:

  • Serving as a confidential point of contact for all staff to seek clarification on issues of compliance
  • The first point of contact for data protection and anti-money laundering compliance, ensuring the business meets the requirements of the DPA 2018 and AML 2017
  • Developing data protection and AML training for staff alongside the Head of Compliance, as part of induction and refresher training
  • Reviewing data protection/AML policies and guidance documents to ensure they are up to date with any future changes, and training those changes out to the business
  • Processing requests and complaints from data subjects e.g., Subject Access Requests, Right to Erasure/Rectification
  • Analysing data protection breaches, preparing reports, and notifying the COLP/Partner as necessary.
  • Where necessary, liaising with the Information Commissioner’s Office
  • In terms of regulatory compliance, supporting the Head of Compliance in the review of compliance policies and procedures
  • Assisting the Head of Compliance with specific investigations, as appropriate
  • Monitoring and considering the impact of regulatory and legislative changes, identifying any gaps and being proactive to address those gaps
  • Providing input into business and strategic decisions from a compliance perspective
  • Being proactive in providing risk and compliance support to internal projects, such as the development of new IT systems, to ensure regulatory responsibilities are met
  • In conjunction with the Head of Compliance, developing and supporting an effective compliance communication programme, raising awareness of emerging compliance issues and related policies and procedures
  • The recording and analysing of compliance failures, reporting breaches to the COLP and COFA
  • Assisting managers with first stage complaint handling, dealing with Stage 2 and Legal Ombudsman complaints
  • Dealing with the firm’s annual office insurance renewals
  • Dealing with the annual SRA practicing certificate renewals, and firm authorisations as required
  • Liaising with regulators and Ombudsman as required
  • Assisting with the return or donation of residual client balances, in line with the Solicitors Accounts Rules
  • Assisting the Head of Training with compliance training as appropriate
  • Providing administrative support to the Board as required
  • Assisting the COLP to manage panel firms in terms of compliance
  • Preparing management information as required

What we need from you:

  • Experience of working with and developing regulatory policies and procedures – Essential
  • Ability to identify, analyse and evaluate the impact of regulatory and legislative changes on the firm – Essential
  • Understanding of the regulatory framework, including the SRA Code of Conduct, Data Protection and Money Laundering Legislation, Complaints Handling and other relevant rules and legislation – Desirable
  • Experience of working in a legal environment – Desirable
  • Strong analytical skills with a pragmatic problem-solving approach
  • Planning, organisation and prioritisation skills with the ability to work to tight deadlines
  • Good use of Microsoft packages and general computer skills

What we can offer you:

  • Fantastic working hours: Monday to Friday – Hybrid Working
  • Pay up to £30,000 Depending on experience
  • Industry leading training
  • Opportunities for you to progress and develop further
  • Healthcare cash plan
  • Pension Scheme
  • Free Parking
  • On-site subsidised canteen
  • Death in service
  • Employee Assistance Programme
  • Annual Summer and Christmas Parties
  • Team bonding events
  • Award Events
  • Dress down Fridays
  • Regular Salary Reviews

If you would like the opportunity to join a reputable, industry leading Law Practice then please do not hesitate to submit an application NOW! Please APPLY NOW or send an updated version of your CV to: rboam@proddowmackay-group.com