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Risk and Compliance Officer

Opportunity in Derby

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Risk and Compliance Officer

We are looking for a Risk and Compliance Officer who has experience in dealing with SRA regulations.

The successful individual will be knowledgeable and be able to advise the company on its compliance policies and processes to ensure the highest of standards are being met. The individual will also have a keen attention to detail and interest in wider business operations.

Location: DE21, Wyvern Business Park, Derby

Contract Type: Full-time | Permanent

Salary & Benefits: £25k – 35k depending on experience

Other info: –

Who are Right Legal Group?

We are a well-established Law firm, regulated by the SRA who specialise in Wills, Probate and Estate Planning. We have built a network across the country which work together on a mission to change the way people think about making a Will and preserve not only our clients’ financial assets but their emotional assets too, for future generations. We are here to protect memories, not just money.

Learn more about Right Legal Group.

Help us to deliver on our mission! Here's what's in it for you...
    • Career progression on opportunities – We pride ourselves on home-grown talent! 
    • Annual career planning platforms – We want to hear all about you and your goals for the year and help you to facilitate your personal and professional ambitions
    • A company culture that embodies empowerment and ownership. We don’t do hierarchy!
    • Company ‘get togethers’ – There’s always something fun happening over here…
    • Rewards & Recognition programmes – You want to be recognised for you efforts don’t you? We love celebrating success.
    • Westfield Health benefits – We want to make sure you have access to look after your physical and mental health and have 24/7 access to those ‘healthy extra’s’.
If this sounds like somewhere you can see yourself working, then read on to find out about the role.

Purpose of the role

To ensure that the business conducts its processes and policies in accordance with applicable law and regulations.

Main duties & Responsibilities

    • Perform risk assessments to identify risk level, significance and scope, across the following areas: corporate governance, business continuity, regulatory and operational, market, financial, security, technology and GDPR
    • Keep up to date with, and understand relevant laws and regulations especially those relating to the SRA code of conduct
    • Monitor compliance with laws, regulations and internal policies
    • Ensure that your findings are recorded and followed up with management so that issues can be rectified
    • Educate employees on not only the regulations, but also on the potential impact to the company
    • Investigate irregularities and non-compliance issues
    • Create reports on current risk and compliance performance
    • Highlight or escalate areas of concern
    • Contribute to robust and effective compliance controls within the organisation
    • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
    • Assist in the gathering of internal information in response to regulatory requests
    • Perform various general administrative duties, such as file creation and maintenance of ongoing administrative projects
    • Collaborate with other departments to create a culture of compliance
    • Investigate and manage complaints in line with the firms complaints policy

Salary

£25k – 35k depending on experience

Location of the role

Next steps....

If you think you’re ready for a challenge and Right Legal Group feels like the right place for you, we’d love to hear from you.

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