Compliance & Risk Management Executive

27000.00 - 32000.00 GBP Annual
29 Aug 2019
26 Sep 2019
Contract Type
Full Time
Great opportunity has arisen to join a Colchester based company in as a
Compliance & Risk Management Executive

Main purpose of the job

To facilitate the smooth running of the compliance and risk management function and provide proactive and effective assistance to the wider Quality & Compliance (Q&C) team.

* Have a good understanding of the firm's compliance and risk management policies and processes and its wider impact to the continued success of our client's company
* Be a pro-active member of the Quality & Compliance team.
* Represent the company in a positive, professional manner at all times.

Key tasks

* Manage, maintain and monitor the administration of file reviews throughout the firm. This includes monitoring of departmental file reviews (undertaken by legal teams) and undertaking file reviews in accordance with our team's risk-based approach.

Main point of contact for compliance and risk management queries:
Manage, maintain and monitor the Compliance Queries Log in accordance with our agreed process which enables us to maintain written audit trail of queries.
Monitor the Compliance Inbox and ensure timely responses are provided.
Escalate queries appropriately and in accordance with our agreed procedure.
Proactive problem solving (e.g. undertake necessary research and/or seek additional help).
Administer the monthly Compliance Committee meeting including ensuring that Agendas are set in a timely manner and minutes are taken and processed correctly & expeditiously
Produce regular weekly and monthly reports and ad hoc reports in accordance with the team's reporting conventions

Support the Director of Quality & Compliance in maintaining and monitoring regulatory accounts.

Work with the Q&C team in maintaining mandatory annual submissions

Work with the wider Q&C team to provide necessary updates, trainings and refreshers on compliance and risk management matters.

Ensure policies and procedures are current, correct and comprehensive. This includes our Office Manual, policies in the intranet, website and shared folders.

Work collaboratively with the team and other support
* Keep up to date with recent developments in regulation and notify the team of relevant compliance and risk management issues which are reported in the legal industry publications.

Key Competencies

* Demonstrable interest in building a career
* Ability to communicate proactively and provide regular, comprehensive and timely updates.
* Exercise good professional judgement, tact and diplomacy.
* Agile and highly adaptive to change. Able to respond to changing priorities and demands.
* Resilient and able to work under pressure.
* Excellent customer service and responding quickly to requests.
* Proactive attitude with a high degree of self-management and initiative. Ability to work independently with limited supervision.
* Strong team work ethic and robust networker with ability to build constructive and collaborative relationships

Full time Monday to Friday
20 days holiday plus bank holidays

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