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Risk and Compliance Supervisor

  • Ref: SD201

Cathedral Appointments are currently recruiting for a Risk and Compliance Supervisor to join a growing international law firm’s Exeter office. This is a newly created role which will form part of a new team based in Exeter.

Risk and Compliance Supervisor responsibilities include...

Responsibilities will include, but are not limited to:

  • Responsible for carrying out money laundering checks to ensure that the firm complies with its obligations under anti- money laundering legislation and the firm's anti-money laundering policy
  • Carrying out research in respect of clients and matters, including client websites, using screening software and other appropriate databases, and building an understanding of the firm's client base
  • Checking and verifying information provided by fee earners and support staff and providing guidance to fee earners and support staff on the necessary information and documentation required to complete the new client and matter opening process
  • Work with the Risk and Compliance Manager and the Risk and Compliance Director in the implementation of the firms new centralised client and matter inception systems
  • Responsible for the supervision of a team of 2/3.
  • Provide training to new members of the team and ongoing training and support
  • Managing the teams conflict checking and be able to make final decisions on conflicts of interest, taking into account both the regulatory obligations and the business needs of the firm
  • To hold regular team meetings ensuring that the team are kept informed of relevant developments and their team's progress and performance
  • To undertake monthly auditing, providing coaching and feedback

Risk and Compliance Supervisor requirements include...

Background/Skills:

  • Our client is looking for a candidate who is degree/GDL/LPC educated.
  • Experience of working in a law firm or other professional workplace or within the compliance team of a law firm or financial services company is also essential
  • This role would suit someone with experience of dealing with conflict of interests, anti-money laundering
  • Demonstrate an understanding of the SRA Code of Conduct rules relating to conflicts of interest and the duties of confidentiality and disclosure
  • Strong communication skills, client focused and able to articulate complex issues clearly
  • Strong prioritisation skills and the ability to work under pressure and to tight deadline
  • Good attention to detail and strong analytical skills, with a methodical approach to work
  • Excellent IT skills across the MS suite of programmes along with a keen interest and willingness to learn new computer packages, software and systems.
  • People management/supervisory experience would be advantageous.

This is a great opportunity for someone with the relevant experience to join this growing firm as a vital part of their Risk and Compliance team. On offer is a highly competitive salary, market leading benefits and the opportunity to manage a team.

Please note, Cathedral Appointments are acting as a recruitment agency in relation to the above role. 

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