Risk & Compliance Officer – Woking

Salary:£40,000 - £55,000

Our client based in central Woking are seeking a Risk & Compliance Officer to join their professional firm.

To work closely with the COLP (Compliance Officer for Legal Practice) and the RCQM (Risk, Compliance and Quality Manager) to ensure that the company complies with its regulatory requirements. To work regularly with the COFA (Compliance Officer for Finance and Administration) regarding compliance relating to money laundering.

To help ensure there is adherence from all staff to all internal risk management and quality procedures, all statutory external compliance and Lexcel standards.

Key Responsibilities:

Client Management

  • To provide advice and guidance on any issues relating to data protection compliance across the firm.
  • To liaise with HoDs, Business Support Managers and other relevant individuals to identify areas of weakness in relation to data protection compliance across the firm and to devise, implement and monitor any necessary changes to working practices and procedures to improve compliance.
  • To assist in providing support to the COLP and RCQM where necessary in providing advice and guidance on compliance related issues across the firm.
  • To assist the COFA regarding compliance relating to Money Laundering legislation.
  • People Management and Relationships
  • To work closely with the COLP, COFA and RCQM.
  • To liaise as necessary with HoDs and Business Support Managers and other relevant individuals.
  • To liaise as necessary with the Law South Group Risk Manager, Meridies and appointed insurance brokers.

Technical and Project Management

  • Management of lender panel applications and general compliance queries.
  • To develop, update and implement the firm’s data protection policies and procedures.
  • To undertake regular reviews and audits of the firm’s compliance processes and procedures and help implement changes as necessary.
  • To ensure strict adherence to data protection legislation throughout the firm.
  • To help ensure compliance with anti-money laundering legislation throughout the firm.

Knowledge Management

  • To maintain up to date knowledge on all rules and legislation relating to the firms risk and compliance function through relevant publications and legal updates and to undertake external training as necessary.
  • To ensure up to date knowledge on all legislative requirements relating to the firm’s data protection compliance.
  • To deliver appropriate data protection and compliance training across the firm.
  • To assist in the provision of other appropriate and targeted compliance training where necessary.
  • To attend Law South Risk Management Group meetings where necessary.

Skills / Attributes Required:

  • A Fast learner
  • Be practically minded
  • Have strong verbal and written communication skills
  • Energy and enthusiasm
  • Robust in approach
  • The ability to work in a busy environment and to be able to work under pressure and to deadlines.
  • Previous experience within a professional services and regulated firm – preferably legal services
  • Data Protection experience
  • Practical implementation of rules within a business
  • Anti-Money Laundering experience, assisting an AMLO with systems and procedures, due diligence and compliance

If you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.


Apply now


Would you like to discuss this role further?
Speak to the 2i Team: 01483 414719

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