Compliance Executive

The Compliance Executive plays a crucial role in supporting the Management Team with the maintenance of files within the business. The compliance team is involved with all matters from onboarding to archiving. This position involves various compliance and operational tasks to ensure adherence to relevant laws, regulations, and internal policies.

This position requires a high level of attention to detail and efficiency; it is important to be able to review files and manage workload to meet strict deadlines and standards., 1. Compliance Support:

• Opening new matters upon instruction from the fee earners, maintaining records of these, sending out the onboarding and creating new instruction documentation.
• Assist in maintaining compliance documentation, including policies, procedures, and records of training and certifications.
• Reviewing the files as per the schedule of work/processes
• Organise and maintain electronic filing systems for compliance-related documents.
• Verify client onboarding processes and procedures in line with compliance policies and industry regulations.
• Assist in the archiving processes maintaining compliance to internal policies, compliance policies and industry regulations.

1. Monitoring and Reporting: * Assist in monitoring compliance with internal policies and external regulations. * Help generate reports and analysis on compliance metrics and key performance indicators. * Notifying team leaders and managers of the results of audits and checks and advising on steps to take

2. Research and Analysis: * Conduct research on regulatory requirements and industry best practices to support compliance initiatives. * Assist in analysing the impact of new laws and regulations on the organisation’s operations. * Summarise findings and present recommendations to management as required.

3. Record keeping and Documentation: * Assist in maintaining accurate and up-to-date compliance records and databases. * Ensure that all compliance-related documentation is properly filed and easily accessible. * Support the preparation of documentation for internal audits and regulatory inspections.

4. Communication and Coordination: * Collaborate with all departments to ensure alignment with compliance requirements. * Assist in developing and implementing streamlined processes to improve the efficiency of onboarding and compliance verification for clients * Stay updated on regulatory changes and industry best practices related to legal compliance and onboarding requirements.

Do you have experience in Organizational skills?, * Strong organisational skills with high attention to detail and accuracy.

• Excellent communication and interpersonal skills.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and other relevant software applications.
• Ability to work effectively both independently and as part of a team.
• Demonstrated commitment to professionalism, integrity, and confidentiality.
• Previous experience in a similar administrative or compliance support role is preferred but not required.
• Familiarity with regulatory requirements and compliance frameworks relevant to the organisation’s industry (e.g., Law, finance, healthcare, etc.).

Note: This job list is not exhaustive and will be subject to periodic review. It may be amended to meet the changing needs of the business. The post-holder will be expected to participate in this process, and we will aim to reach an agreement on any changes.