Risk and Compliance Manager
- Published: Friday, 16 October 2020 07:53
Location: UK, Leeds
Agency: Michael Page
Join a Leeds based property focused law firm in a broad risk and compliance role. The firm supports clients in financial services.
- SRA Code of Conduct - dealing with queries from the business including managing conflicts of interests; assisting in investigating breaches and escalating as required to the AD - Professional Standards; assisting the AD - Professional Standards in drafting firm-wide policies and processes; managing relevant regulatory renewals.
- DPA/AML - dealing with queries from the business; assisting in investigating breaches and escalating as required to the AD - Professional Standards; assisting operational departments in dealing with Subject Access Requests; assisting the AD - Professional Standards in drafting firm-wide policies and processes.
- Monitoring and reporting on key regulatory developments; assisting the AD - Professional Standards in implementation of regulatory/process changes; drafting change requests as appropriate.
- Risk Management - liaising with operations, the Exec and Group to manage the risk framework, reporting on key issues and trend analysis and providing input into the firm's risk dashboard.
- Monitor the Compliance inbox and deal with queries raised.
- Compliance input into client due diligence audits and questionnaires.
- Input into the content of the Compliance training programme; delivery of ad hoc informal training on compliance topics as required.
- Supporting the Operations Director in the design and management of Business Continuity planning and testing.