Compliance Assistant

  • Competitive salary plus excellent benefits package
  • Maidstone, Kent
  • Brachers Llp

A great opportunity has arisen for an enthusiastic individual to join our Risk and Compliance team, working 35 hours per week, Monday to Friday, 9am to 5pm each day.

This role is to work closely with and support the Risk and Compliance Manager and the Firm in all SRA, ISO and FCA compliance.

Roles and responsibilities:

• Assist with updating policies and procedures

• To review registers of Compliance eg Risk, Complaints, undertakings and file reviews for completion and follow up on corrective action required

• To update Riliance with monthly updates on Complaints / PII Claims and firm wide risks

• Manage complaints for COLP, to ensure replied by due dates and closed out when six months lapsed

• To manage specific monthly tasks

• Assist with the management of the quality assurance program (Currently Lexcel, ISO 9001 and ISO 14001)

• Review FCA logs for completion

• Co-ordinate annual risk & compliance training

• Monitor GDPR recorded breaches to ensure actioned where required

• Send reminders and prepare risk and other bulletins with content provided

• Assist with file reviews when required

• Assist with the quarterly inactivity reports

• Take minutes at meetings

• New starters / return to work – ensure induction booked in and update file review listings

• To assist and support the Risk & Compliance Manager, COLP & COFA with any other administration duties as needed

• To ensure own knowledge is maintained as required

What we are looking for:

• Strong administration skills and a keen eye for attention to detail

• Excellent organisational skills with the ability to work under pressure and deliver results in a timely manner

• Excellent communication skills when dealing with a variety of people

• Excellent interpersonal skills

• Must be able to work as part of a team, in a shared office environment and open planned when assisting with audits and file reviews within teams

• Willing to be flexible to meet the needs of the team to deliver solution based successful outcomes

• Someone who is happy to take the initiative as required

• An appreciation of the need for discretion and confidentiality

If you feel you have the experience and skills we are looking for, we would like to hear from you. Alternatively if you know someone outside the firm who may be interested in the role please feel free to tell them about this opportunity.

To apply for the role please send your CV together with a covering e-mail to [email protected] on or before close of business on Friday 25th January 2019.

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