About the role and team

Anthony Collins Solicitors have a fantastic opportunity for a Risk and Compliance Officer to join the Risk and Compliance Team. The successful candidate will be responsible for providing support across the full range of risk and compliance activities in the firm including supporting the firm with advice and guidance regarding conflicts, AML compliance, new business intake queries, the application of the SRA Standards and Regulations, risk and compliance data and document administration, report drafting, file reviewing, auditing, arranging compliance training, progress tracking and meeting facilitation. 

Key Tasks

  • To compile draft reports on emerging trends and issues. 
  • To maintain accurate and up-to-date risk and compliance records including risk reports ensuring that they are signed off by the COLP.
  • Maintain the firm’s compliance registers including those for compliance and data breaches. 
  • Provide administrative support for the firm’s Lexcel quality standard and its preparation, including facilitating annual policy and process reviews and coordinating preparations for the annual Lexcel audit.  
  • Track progress of key compliance related activities and prompt delivery by due dates as necessary.  
  • To complete file reviews as part of a regular monthly cycle.  
  • Provide technical support to the Business Acceptance Unit in relation to AML, conflicts, client care and risk assessments.
  • Assist the Designated Complaints Handler with complaint handling including investigation, report drafting and liaising with clients and third parties.
  • Maintain a register of FCA regulated finance and insurance professionals and perform regular due diligence to ensure compliant referral arrangements.
  • Create and maintain a register of service contracts and managing the due diligence process.
  • Arrange training sessions, booking rooms/links, creating profiles in e-learning programmes, running completion reports and follow up action.
  • Maintain template content for Client Care Letters (CCLs) and the firm’s Terms and Conditions of Business.
  • Administer all SRA and professional negligence matters under the direction of the COLP or Risk and Compliance Manager, maintaining accurate records as necessary.
  • Organise and minuting relevant Risk and Compliance meetings such as the Risk and Compliance Group and Lexcel Managing Delivery meetings. 
  • Assist with the firm’s professional indemnity insurance application.
  • Processing the annual practising certificate renewal.   
  • Support the Risk and Compliance Manager and Head of Risk and Compliance with diary management and administration.

About the candidate

About the candidate

  • Experience of working in a regulated professional services environment, especially the application of the Money Laundering Regulations 2017 and the SRA Standards and Regulations. This experience is desirable but not essential.
  • Professional outlook, highly organised, able to multitask and meet deadlines. 
  • Flexible with a ‘can do’ approach. 
  • Understanding of the importance of confidentiality and discretion.
  • Resilience and determination to support risk and compliance processes. 
  • Detail orientated and able to take ownership of tasks. 
  • Excellent IT skills including the ability to confidently use the suite of Microsoft packages and a range of internet and network based products. 
  • Strong administrative and organisational skills. 
  • Capable of collating information from a variety of sources and constructing clear documents. 
  • Confident and positive communicator.
About the firm
Anthony Collins Solicitors is a specialist law firm with a clear purpose – to “improve lives, communities and society". For over 40 years we’ve been successfully combining market-leading legal expertise with a commitment to excellence and long-term relationships underpinned by a strong set of values.
What makes Anthony Collins Solicitors distinctive, beyond simply being a sector-specialist law firm, is our people and the values we share. We’re extremely proud of the calibre of people that we attract; people who are inspired by our values, motivated by our vision and work with our clients to positively influence the society and communities we are building together.
Anthony Collins Solicitors is a committed Equal Opportunities employer promoting equality of opportunity. This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.