For more than three quarters of a century, Ward & Rider Solicitors has stood as a quiet but enduring presence in the life of the community it serves. Since its founding over 75 years ago, the company has grown - witnessing generations pass, families evolve, and the legal landscape transform - yet remaining steadfast in its core purpose: to provide trusted, personal legal support to local residents in its Coventry/Leamington Spa/Kenilworth/Stratford-upon-Avon offices and beyond. The company is dedicated to providing high-quality legal services to all of 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
Experience:
- compliance : 2 years (required)
Work authorisation:
- United Kingdom (preferred)
Work Location: In person
