Kate & Co are excited to be working with one of its key clients who are looking for a Compliance Offcier to join their team based in Leamington Spa.Job Responsibilities:
- Conducting internal audits to provide assurance to the Approved Persons that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies. Kate & Co are excited to be working with one of its key clients who are looking for a Compliance Offcier to join their team based in Leamington Spa.
- Ensuring that our Quality Assurance checks, and controls are effective and that any weaknesses are reported, identified and addressed.
- Review of policies and procedures and training to ensure they are up to date and compliant with regulatory requirements.
- Respond to queries raised by the FCA and completing applications for approved persons;
- Delivering and providing training firm wide.
- Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance
- Assisting the Head of Risk and Compliance to maintain the firm’s risk register and devise and implement a firm wide risk based monitoring plan in line with the firm’s risk register
- Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports.
- Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting.
- Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause.
- Respond to requests for information under the Data Protection Act and requests to delete information.
- Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm’s data base.
- Updating training material to ensure it is compliant with legislation and working with the compliance team to deliver training in a way which minimises time away from work.
- Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits.
- Periodic reviews of all standard contact methods, including letter, email and SMS sent.
The successful candidate will have experience of working within compliance at a law firm and be used to working in a busy and fast paced environment.