Risk and Best Practice Assistant

We are currently recruiting for a Risk and Best Practice Assistant to join our Bath office. You will assist the Risk and Best Practice team in the provision of professional, efficient, and high quality first-tier assistance with risk and compliance queries to the firm and external parties.

Duties will include :

• Be the first point of contact for queries in relation to the department’s policies and procedures, escalating where appropriate
• Review and respond to first line GDPR data breaches, liaising with the relevant staff. Where appropriate forwarding complex matters to the Risk and Best Practice Lawyer
• Review and respond to AML queries, escalating to the AML Manager where appropriate
• Provision of first-tier guidance on client onboarding queries, including initial analysis of e-verification search issues and analysis of PEP and Sanctions matches
• Provide support to staff on the e-verification and client management system
• Maintain and generate reports on the department’s risk and compliance registers, including but not limited to : complaints and claims; compliance breaches; anti-money laundering registers and training records
• Monitoring of updates to the sanctions regime by the government and OFSI, checking the details against our database and informing the staff of the updates
• Undertake file audits to determine compliance with our policies
• Assistance with the identification of key policies, documents, or correspondence
• Renewal and collation of the department’s certificates and registrations including ICO registrations and insurance certificates
• Support the annual SRA Practising Certificate Renewals, assisting HR with provision of risk data
• Provide administrative support for external audits, including those relating to Lexcel, CQS, AML audits and the Legal Aid Agency
• Manage the Risk and Best Practice team’s diaries and ensure key dates and deadlines are recorded. Responsible for scheduling and minuting meetings and chasing up actions
• Provide support to the other members of the Risk and Best Practice team, including the creation of bundles to support analysis of claims and complaints or to assist with investigations
• Creation of correspondence and training materials
• Manage and maintain the Risk and Best Practice Team’s intranet pages
• Monitor SRA / Law Society / ICO websites for updates
• Developing and delivering induction training to new starters
• Support the team with other administrative duties and projects as required
• Carry out any other ad-hoc duties as requested

Skills, Experience and Attributes