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Risk & Compliance Lawyer

  • Location

    London

  • Sector:

    Risk and compliance jobs

  • Job type:

    Permanent

  • Salary:

    50000 per annum

  • Contact:

    Adam Spencer

  • Contact email:

    adamspencer@ajfoxcompliance.com

  • Published:

    6 months ago

  • Expiry date:

    2019-11-16

  • Client:

    AJ Fox Compliance

This is a varied role and the ultimate responsibilities will be partly determined by the candidates interests and capabilities. This role would suit a risk lawyer or professional who is keen to move into a broad all encompassing role and is looking to take on a higher level of autonomy and responsibility. Some of the core issues will cover:

Ad hoc General Risk and Compliance tasks including but not limited to:

  • Assisting in monitoring compliance of the firm’s AML procedures
  • Conducting searches & carrying out electronic AML checks
  • Maintaining and updating various central risk registers, complaints, confidentiality breaches, conflicts, undertakings, compliance with Legal Ombudsman’ awards
  • Responding to internal queries
  • Carrying out file reviews
  • Assisting in carrying out conflicts searches and providing general risk and compliance advice

PI, Claims and Complaints focused work:

  • Providing assistance and support to those who notify of a relevant event including advice and assistance with client management.
  • Determining if there is a reportable incident
  • Reporting to and liaising with the firm’s professional indemnity insurer
  • Acting as point of contact to manage relationship with panel solicitors
  • Assisting in relation to PII renewal process
  • Providing updated information on notifications/claims for Lender Exchange / Conveyancing lenders panel
  • Preparing the internal annual PII and negligence report to the board

Whilst this role will suit an experienced risk professional it may be open to candidates with no experience of risk and compliance so long as they have strong PI exposure.