This role involves but is not limited to: 

•  SRA. Assisting with investigations concerning matters raised by SRA.
• AML. Contributing to the policy to ensure it remains up to date and reflecting practice, and from time to time deputising for MLRO on covering CDD, SOF and suspicious activity referrals.
• Data Protection. Taking on the role of DPO, leading liaison with ICO, supervising staff who deal with DSARs, keeping data protection policies and procedures up to date.
• Accreditations. Ensuring that the Company remains a Lexcel, CQS and ISO 9001/27001 accredited organisation; appropriately liaising with stakeholders and coordinating activity across the Company to do so; undertaking assessments with external assessors.
• Policies and procedures. Regularly reviewing and liaising with document owners to ensure the Company’s policies, procedures, systems and work practices stay up to date and meet the requirements of law, regulation, professional standards and best practice.
• Manuals. Maintaining the quality and information security manuals for ISO accreditations.
• Practising Certificate renewal. Coordinating the annual renewal process.
• Special projects. Assisting directors with special compliance projects that arise from time to time.
• Advise. Appropriately advises the COLP, COFA and the board of directors, as necessary, of matters or risk requiring corrective action in relation to the accreditation process.
• Training. Liaising with HR to ensure all relevant training information is available for the accreditation process (the induction compliance training for new personnel and administering the central co-ordination of Company-wide on-line training programmes.)
• Records. Maintaining and updating the Company’s mySRA records for SRA and other regulatory and accreditation purposes including Lexcel, CQS, WIQS.
• Liaison. Monitoring systems and controls for Company-wide compliance processes and liaising with departments as required.
• Budget. Preparing Risk & Compliance department’s annual budget before the start of the Company’s financial year.
• Board reports. Preparation of information for inclusion in monthly board reports on accreditation updates or identifying any risk areas
• Documentation. Ensuring the team keeps the online document register up to date.
• Registers. Oversight of the combined risk registers, containing breaches, high risk matters and declined instructions registers, making or ensuring necessary entries appear.
• Compliance Intranet. Becoming one of the gatekeepers of the staff facing policy repository 

Requirements:

• Knowledge of accreditation standards and SRA Standards and Regulations.
• Good knowledge of the MLR and experience of AML work.
• Good working knowledge (or adeptness to gain suck knowledge) of company policies and procedures.
• Strong organisational and communication skills. 
• Ability to work independently and to tight deadlines. 
• Flexibility to travel to other offices where necessary. 
• The ability to absorb and digest information and interpret content correctly. 
• Professional approach. 
• Strength of character to be firm where necessary with colleagues.
• Self-motivated and must show a willingness to self-develop & resolve issues. 

Company Core Values:

Aspirations: To be the best that you can, motivated to do things better, works smarter not harder, embraces changes, learns form mistakes, takes an interest in the vision of the business

Integrity: Open and honest, shows respect, admits mistakes, looks at ways to improve and share ideas

Innovation: Creative and Dynamic, Adaptable to change, seeks ways of doing things better, get involved with work that makes a difference, continuously learns new things for personal development

Commitment: Relationships for the long-term.