The firm
A leading UK law firm with a network of offices from the South Coast to Scotland, working together as one national team. An innovative practice and the first top 100 law firm to achieve “Gold Standard” Investors in People, our values and culture are not just words on our website but are the heartbeat of the firm. The lack of barriers between departments, a real lack of hierarchy, zero tolerance for arrogance and pomposity makes Shoosmiths a fantastic place to work.
The team
The Risk & Ethics Directorate (‘R&E’) is responsible for all areas of compliance and risk management for Shoosmiths including developing firmwide policies and procedures to ensure compliance with all legal and regulatory compliance requirements, and to promote best practice. The team is split between the Central Compliance Unit who are responsible for the onboarding of all clients/matters (including conflicts and AML), Risk Management, and Data Protection.
The role
An exciting opportunity has arisen to join an established and well-regarded risk & ethics team in the legal sector as Risk & Ethics Advisor.
R&E supports all our offices/practice areas and enjoys a position at the heart of the business. Our aim is to ensure that the firm meets all its regulatory and legislative objectives and to ensure risk management processes are embedded into the firm’s culture whilst championing the commercial needs of our business.
The Risk & Ethics Advisor will collaborate closely with the firm’s R&E team including the Head of Risk and the Head of Data Protection to embed a culture of professional practice and support the provision of advice on a wide range of legal, regulatory and ethical issues impacting the firm.
This role offers an opportunity to build and develop knowledge and skills throughout a broad range of risk and compliance topics. This role will have split responsibilities across risk and data protection.
Main responsibilities
- Support Senior Managers and the wider Risk & Ethics Directorate with handling of wide range of queries relating to anti-financial crime, conflicts, regulatory matters, data protection, supplier questionnaires, claims and complaints.
- Assist with processing with data protection rights requests, risk assessments and maintenance of relevant registers.
- Support change initiatives within R&E by assisting with process improvements and implementation of agreed changes.
- Provide support in delivering clear and practical regulatory and compliance guidance to internal stakeholders, seeking input from senior colleagues where appropriate.
- Contribute to firmwide projects, including supporting the implementation of systems (e.g. onboarding tools), as directed.
- Assist in the development of training materials and support the delivery of training sessions across the firm.
- Participate in R&E projects, supporting the delivery of specific workstreams and tasks to help manage and mitigate risk across the business.
- Assist with policy updates as instructed by senior management.
- Assisting with research, analysis and progression of matters under supervision.
This job description encompasses the main duties expected of the role but the successful candidate may be involved in all areas of risk management from time to time according to the needs of the directorate.
Skills and qualifications
Required:
- Two years' experience working in risk and compliance within a professional services firm.
- Good working knowledge and experience resolving conflict of interest issues.
- Knowledge of legislation affecting solicitors including SRA rules and data protection etc.
Desirable:
- Experience assisting with internal and external investigations, including responding to queries from The Legal Ombudsman, ICO, SRA or another appropriate regulator.
Personal Attributes:
- A passion for risk & ethics including the commercial benefits compliance brings to a large organisation
- Energetic, self-motivated and with a can-do attitude
- Excellent interpersonal & communication skills both verbally and written able to communicate at all levels
- Confident in using judgment appropriately and seek guidance were needed
- Able to work in a fast-paced and demanding environment
- Focused on quality of output as well as speed of delivery
- Excellent attention to detail
- Strong analytical skills
- Demonstrates commercial acumen and a pragmatic attitude
Background checks
Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted. These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years, Personnel Vetting credit search (which will only highlight insolvency or County Court Judgments - should any adverse data show on the Personnel Vetting search then any offer of employment made will be withdrawn).Terrorism Check (against data supplied by the Bank of England) and a DBS check previously known as a Criminal Records check.
Our approach to our people is underpinned by our approach to diversity, inclusion and well-being. Our ambition is to build a diverse and ambitious workforce that reflects all backgrounds and talents, and a workplace that is supportive and inclusive, recognises and nurtures talent, and has a strong sense of community between colleagues.
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.
If you’d like to learn more about this opportunity or have any questions, please don’t hesitate to contact Charlotte Williams at [email protected]
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