This is an excellent opportunity for a qualified Solicitor or experienced Risk & Compliance professional with a background in legal to join our Risk and Compliance team assisting the General Counsel/COLP and the team with the delivery of the firm's objectives in reducing risk and achieving across the board compliance with regulatory and statutory obligations.
- Conduct file reviews, feedback to lawyers/Heads of Department and report the same to the General Counsel/COLP and COFA as necessary, and analyse areas for improvement and suggest ways in which improvements can be made.
- Review complaints correspondence and draft responses based on a review of the file and by liaising with the fee earner and if necessary supervisor, General Counsel/COLP and/or COFA.
- Notify circumstances to insurers, supervise the rectification of issues and liaise with external solicitors where necessary.
- Provide conduct (particularly conflict of interest), ethics and accounts rules advice to any member of staff as and when required.
- Review contracts for third party suppliersProvide written guidance to the firm on areas of risk and compliance as and when required.
- To work with all members of staff in supporting and developing internal knowledge and best practice.
- To deliver relevant internal training when required.
- To assist in preparing the firm for any external auditing or insurance renewal process.
- To develop more junior members of the team in relevant areas of risk and compliance.
- To keep up to date with all relevant regulatory and compliance developments and feed back to the General Counsel/COLP any suggestions for change in our processes or approach.
- To assist team members with any other duties as and when required.
Ideally you will be able to demonstrate;
- A thorough understanding of the Code of Conduct 2019 and the SRA's Regulatory regime.
- Understanding of the Money Laundering Regulations, Bribery Act 2010 and Solicitors Accounts Rules 2011.
- Previous experience in dealing with day to day compliance issues.
- Previous experience in complaints handling.
- Previous experience in notifying circumstances to insurers and the supervision of rectifying matters.
- Previous experience in private practice.
- The ability to influence and persuade at all levels in order to ensure colleagues understand and follow correct procedures.
- Excellent interpersonal skills- with the ability to establish and maintain internal and external working relationships.
- Excellent analytical skills and attention to detail.
- Competitive salary
- 25 days annual holiday
- Permanent Health Insurance
- Life Assurance
- Interest free Season Ticket Loan
- Private Healthcare
- Pension Scheme
- Staff Introductory Scheme
- Employee Assistance Programme
With almost 200 lawyers in one location, we ensure our clients have the right team to help them get from where they are to where they want to be. We advise major corporates and institutions as well as entrepreneurial, ambitious enterprises which are often privately or family owned, or private equity backed. As well as our significant business law capability, we are one of only a few London-based law firms with a large private wealth offering. Our clients find our straightforward approach a compelling alternative to larger, less personal firms.
Whether you are an ambitious and talented individual wanting to hit the ground running from day one, or an established professional looking for a new opportunity, Howard Kennedy is the firm where you can really make it happen.
We have earned a strong reputation for our exceptional and uniquely talented people who between them deliver outstanding results for clients. In a firm of our size, our strong team dynamic creates a thriving culture of creativity and entrepreneurialism. Howard Kennedy is a pragmatic and non-hierarchical environment where success is shared, and you are proactively encouraged to thrive at your own pace.
Our distinctive culture is built on fairness and respect. Guided by the firm’s values of talk straight, think smart and be yourself, everyone in the firm holds equal value, and everyone plays their role in supporting, encouraging and inspiring colleagues to do their best work.
At the same time, we recognise and reward individualism, celebrating the diversity of our people and supporting them to grow their practice and drive their own career advancement.
As well as client work, there is opportunity to broaden your horizons at the firm with fulfilling pro bono and charity projects. We have a regular social calendar full of wellbeing activities, charitable and social events too.