Legal and Compliance Officer

  • Leeds
  • Permanent
  • £30,000 - £35,000 per annum

LEGAL & COMPLIANCE OFFICER

  • Hybrid working
  • Leeds office based
  • Full OR Part-Time

Job Description

  • Ensure the firm complies with all relevant statutory laws and regulations, internal policies and procedures.
  • Manage the firm’s Lexcel Accreditation Audit
  • Ensure continual monitoring and review of compliance procedures to help identify possible areas where improvements can be made
  • Work with the Compliance Partner to develop internal policies and procedures, compliance training and protocols.
  • Keep up-to-date with regulatory developments and industry initiatives
  • Develop compliance checklists and compliance reports as and when required.
  • Design, develop and manage compliance checklists, reports and monitoring programmes.
  • Ensure compliance with best practices and undertake any other duties as required by the Management Team.
  • Prepare compliance documents for statutory, legal and regulatory purposes.
  • Work with management and staff to identify regulatory risks and design internal controls to ensure compliance within the firm.
  • Perform routine risk assessments to help the firm understand compliance risk, scope and significance.
  • Educating employees on compliance regulations and the impact of non-compliance on the firm.
  • Review marketing materials, websites and presentations (including new employee induction programmes) to ensure compliance with regulations.
  • Work with the management from other departments to ensure compliance and investigate irregularities
  • Contribute to robust and effective compliance controls within the firm.

Skills

  • Critical problem-solving skills and analytical skills
  • Attention to detail with the ability to interpret information rapidly.
  • Excellent verbal and written communication skills
  • Good interpersonal and conflict management skills

Qualifications

  • Bachelor’s Degree in Law.or a minimum of 3 years compliance experience preferably within the legal environment.
  • I.T knowledge (particularly in Excel and Word
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