Compliance Officer

Ward & Rider Solicitors is a well-established and respected law firm with a history spanning over 75 years. With offices in Coventry/Leamington/Kenilworth, we are dedicated to providing high-quality legal services to our clients.

An excellent opportunity has arisen for a Compliance Officer to join our team.

The ideal candidate will ensure a company adheres to legal, regulatory, and internal rules and policies.

The Candidate

The successful candidate will need to be:-
• Technically proficient with at least 2 years’ experience within a compliance role;
• Possess excellent verbal and written communication skills;
• Someone who strives for high standards in their work at all times;
• A pro-active team player who is equally confident working on their own initiative;
• Is highly organised, and able to balance simultaneous projects.

The Role

Main duties will include but not limited to:-
• Dealing with stage one complaints, and assisting with stage two complaints where required by the Directors;
• Liaise with the SRA and Legal Ombudsman where required;
• Submit breach reports;
• Maintain records of all breaches, complaints and risk related issues;
• Manage and maintain documents relating to CQS accreditation and assist with other accreditations;
• Ensure claims history is up-to-date and liaising with professional indemnity insurers on any ongoing matters;
• Conduct compliance file reviews, and ensure independent file reviews are completed;
• Carry out quality reviews of individual departments to look at potential risks and ensure that plans are put in place to minimise risks;
• Ensure that all policies are up to date and compliant with associated legislation and regulator guidance;
• Maintain the policy review schedule and ensure that all policies are regularly reviewed in accordance with it;
• Oversee Company insurance renewals;
• Undertake annual training and training of new starters for relevant areas.
• Support staff with compliance queries, including client onboarding and conflicts.

Salary will be dependent on experience.

Job Types: Full-time, Permanent

Benefits:
• Company events
• Free parking
• Health & wellbeing programme
• Sick pay

Schedule:
• Monday to Friday

Experience:
• compliance : 2 years (required)

Work authorisation:
• United Kingdom (preferred)

Work Location: In person