An exciting opportunity has arisen for a Compliance Administrator to join our Business Support Department. Based at our Leamington office with regular travel to our other offices, the successful candidate will provide comprehensive administrative support to the Managing Director and Risk & Compliance Manager.
Responsibilities
- Audit AML, CTF, APF compliance, recording the outcomes in file reviews
- Check that corrective actions have been undertaken by required deadlines and inform the Risk & Compliance Manager if they have not been undertaken. Record audit outcomes in a spreadsheet for analysis
- Assist Risk & Compliance Manager in compiling data for standard file reviews and check that correct number of reviews are being undertaken. Also ensure corrective actions completed by reviewees in the required timeframe
- Run Tikit matter balance reports for quarterly fee earner review, follow up with fee earners to ensure that they are all completed and returned. Notify the COLP and Risk & Compliance Manager where deadlines have not been met
- Record compliance breaches in the risk register and follow up to check the compliance has been undertaken to close risks. Chase up with fee earners and notify Risk & Compliance Manager if required actions have not been undertaken. Maintain risk register
- Assist with administrative tasks to support the preparation for audits (LEXCEL, CQS, SRA)
- Support fee-earning departments with compliance queries where possible and liaise with Risk & Compliance Manager as needed to resolve queries
- Assist with onboarding queries and document verification checks
- Support Risk & Compliance Manager with compliance training for fee-earning departments as required
- Liaise with colleagues to ensure the smooth running of the compliance function
- Undertake routine administrative tasks as required
Qualifications
- Previous experience of working in an administrative role
- Previous experience of providing administrative support to a compliance team is desirable, but not essential. Full training will be provided
- Interest in technology and AI would be beneficial
- Excellent keyboard skills with a good knowledge of Outlook, Word and Excel. Experience of using a case management system is advantageous but not essential
- High attention to detail and accuracy
- Ability to work on own initiative, good prioritisation and organisational skills
- A friendly and calm manner
- Ability to be a team player and flexible outlook
- Ability to remain discreet and maintain confidentiality at all times
- Full driving license and use of a car would be advantageous as there will be a requirement to travel between our offices
Benefits
- One‑off bonus payment of £250 (gross pay) upon successful completion of the probation period
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