Risk and Compliance Officer
- Recruiter
- Confidential
- Location
- Sheffield
- Salary
- 24000.00 - 27500.00 GBP Annual
- Posted
- 04 Jun 2021
- Closes
- 02 Jul 2021
- Sectors
- Banking & Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
Risk and Compliance
Hargreaves recruitment are working with a great legal that are based in Sheffield. They have a really down to earth, family friendly culture and due to natural growth they are now looking to expand their team with the following role
JOB PURPOSE
To assist the Head of Compliance in ensuring that all activities carried out by the business meet the regulatory requirements of the SRA and applicable industry legislation.
PRINCIPAL ACCOUNTABILITIES / TASKS
* Serving as a confidential point of contact for all staff to seek clarification on issues of compliance
* The first point of contact for data protection compliance, ensuring the business meets the requirements of the DPA 2018
* Developing data protection training for staff alongside the Head of Compliance, as part of induction and refresher training
* Reviewing data protection policies and guidance documents to ensure they are up to date with any future changes, and training those changes out to the business
* Processing requests and complaints from data subjects e.g. Subject Access Requests, Right to Erasure/Rectification
* Analysing data protection breaches, preparing reports and notifying the COLP/Partner as necessary. Where necessary, liaising with the Information Commissioner's Office
* In terms of regulatory compliance, supporting the Head of Compliance in the review of compliance policies and procedures
* Assisting the Head of Compliance with specific investigations, as appropriate
* Monitoring and considering the impact of regulatory and legislative changes, identifying any gaps and being proactive to address those gaps
* Providing input into business and strategic decisions from a compliance perspective
* Being proactive in providing risk and compliance support to internal projects, such as the development of new IT systems, to ensure regulatory responsibilities are met.
* In conjunction with the Head of Compliance, developing and supporting an effective compliance communication programme, raising awareness of emerging compliance issues and related policies and procedures
* Assisting managers with first stage complaint handling, dealing with Stage 2 and Legal Ombudsman complaints
* Dealing with the annual SRA practicing certificate renewals, and authorisations as required
* Liaising with regulators and Ombudsman as required
* Assisting the Head of Training with compliance training as appropriate
* Providing administrative support to the Board as required
* Assisting the COLP to manage panel firms in terms of compliance
* Preparing management information as required
Essential requirements for this role
* Detailed understanding of the regulatory framework around Data Protection and Anti-Money Laundering Legislation, Complaints Handling and other relevant rules and legislation.
* At least 2 years experience working in risk and compliance
Hargreaves recruitment are working with a great legal that are based in Sheffield. They have a really down to earth, family friendly culture and due to natural growth they are now looking to expand their team with the following role
JOB PURPOSE
To assist the Head of Compliance in ensuring that all activities carried out by the business meet the regulatory requirements of the SRA and applicable industry legislation.
PRINCIPAL ACCOUNTABILITIES / TASKS
* Serving as a confidential point of contact for all staff to seek clarification on issues of compliance
* The first point of contact for data protection compliance, ensuring the business meets the requirements of the DPA 2018
* Developing data protection training for staff alongside the Head of Compliance, as part of induction and refresher training
* Reviewing data protection policies and guidance documents to ensure they are up to date with any future changes, and training those changes out to the business
* Processing requests and complaints from data subjects e.g. Subject Access Requests, Right to Erasure/Rectification
* Analysing data protection breaches, preparing reports and notifying the COLP/Partner as necessary. Where necessary, liaising with the Information Commissioner's Office
* In terms of regulatory compliance, supporting the Head of Compliance in the review of compliance policies and procedures
* Assisting the Head of Compliance with specific investigations, as appropriate
* Monitoring and considering the impact of regulatory and legislative changes, identifying any gaps and being proactive to address those gaps
* Providing input into business and strategic decisions from a compliance perspective
* Being proactive in providing risk and compliance support to internal projects, such as the development of new IT systems, to ensure regulatory responsibilities are met.
* In conjunction with the Head of Compliance, developing and supporting an effective compliance communication programme, raising awareness of emerging compliance issues and related policies and procedures
* Assisting managers with first stage complaint handling, dealing with Stage 2 and Legal Ombudsman complaints
* Dealing with the annual SRA practicing certificate renewals, and authorisations as required
* Liaising with regulators and Ombudsman as required
* Assisting the Head of Training with compliance training as appropriate
* Providing administrative support to the Board as required
* Assisting the COLP to manage panel firms in terms of compliance
* Preparing management information as required
Essential requirements for this role
* Detailed understanding of the regulatory framework around Data Protection and Anti-Money Laundering Legislation, Complaints Handling and other relevant rules and legislation.
* At least 2 years experience working in risk and compliance