Compliance Executive

Compliance Executive

Hours: Full-Time, Monday-Friday

Benefits:

• Subsidised gym membership
• Subsidised parking and travel
• Central and modern offices
• Discounted dining at selected venues
• Additional time off to celebrate your birthday
• Pizza Fridays and free fresh fruit

Our Client:

They maintain a creative, highly positive working culture for staff, offering an excellent office environment, plenty of staff social events, alongside personal development opportunities.

The Role:

They are now looking for a detail-oriented Compliance Executive with a passion for excellence and best practice to join their team. The role will involve working closely with the Compliance Officer to ensure robust compliance with our regulatory obligations and support the day-to-day administration of the compliance function.

Responsibilities:

• Anti-Money Laundering - assisting with implementing and conducting Know Your Customer (KYC) checks.
• Assisting with the completion of file reviews and any other compliance checks, reporting the results to the Compliance Officer.
• Compliance policies – assisting with maintaining, implementing, and keeping up to date, the firm’s compliance polices.
• Organising and assisting with the delivery of online Compliance training.
• Keeping up to date with changes in money laundering regulations and the firm’s procedures.
• Maintain accurate records of compliance activities, including KYC, conflict checks, AML funding checks and counterparties sanctions checks, to ensure audit readiness.
• Maintaining the Firm’s Portals under the supervision of the Compliance Officer – Lender Panels, HMCTS, Land Registry.
• Assisting with audits - requesting documents from fee earners.
• Ad-hoc compliance research tasks and any other duties as requested by the Compliance Team.

Skills and Requirements:

• Previous experience in a compliance role in the legal sector is desirable.
• Strong knowledge of MS Office, including Word, Excel and Outlook.
• Confidence in communicating with people at all levels with a high level of professionalism and confidentiality.
• A proven ability to meet deadlines and prioritise work whilst maintaining accuracy and focus.
• Strong problem-solving skills with an analytical approach.
• Examples of initiative and being able to work well within a team environment.
• Ability to research independently, with the desire to learn new tasks and take on additional responsibilities where necessary.