The Risk and Compliance Officer is a key role within the Finance and Risk Practice Area and will report into and support the Head of Finance and Risk. This role will be based in the firms’ Midlands office.
The overall purpose of the role is the management of the firms’ risk and compliance procedures, ensuring regulatory and corporate risks are managed and controlled appropriately and in particular the management and effective resolution of client complaints and claims.
Key areas will include:
- Managing the complaints procedure, establishing accountability, monitoring and ensuring effective escalation and resolution
- Liaising with external risk and compliance consultants
- Co-ordinating and dealing with insurance queries, notifications and claims.
- Risk and Compliance reporting
You will generally be required to undertake work that is complex in nature, work under limited direction with reasonable autonomy and accountability, and exercise sound initiative and judgment in the interpretation of policy and in the application of practices, processes and procedures. You must have a genuine desire for continuous improvement and for transforming the way a legal firm operates. It is essential that you have management experience of risk and compliance in a legal environment; are skilled in risk and complaints handling, dealing with clients who have a complaint and able to create an effective resolution. You must also understand risk and regulations as it relates to the legal and regulatory environment and have experience of the application of the Solicitors Regulation Authority Code of Conduct and the complaints resolution procedures.