JOB TITLE: Compliance Administrator
DIVISION: Compliance
OFFICE: Bromsgrove
RESPONSIBLE TO: COLP
REPORTS TO: Compliance Manager
PURPOSE OF ROLE
To provide administrative support to the firm’s Compliance Officers and Compliance Manager to help ensure tasks are undertaken in a timely manner through adherence to and implementation of the firm's guidelines and policies and wider compliance administration in line with requirements set by the Solicitors Regulation Authority, the Law Society, other regulatory bodies and other relevant legislation and guidance.
To strive for continuous development at work.
PRINCIPAL DUTIES AND RESPONSIBILITIES
Compliance Administration
Assist with:
· maintaining compliance records, registers and databases
· the firm's compliance and policy procedures, including relevant administrative and support activities/tasks and evidencing firm compliance with mfg policies
· preparing documentation for audits and internal reviews
· run and circulate monthly reports across the wider firm
Data Protection and Confidentiality
· Assist with maintaining confidential records and documentation
· Support data protection and information governance processes
· Ensure sensitive information is handled securely and appropriately
· Maintain confidentiality and data protection standards at all times.
File Reviews and Audit Monitoring (Internal and External File Reviews)
· Support file review and audit monitoring activities
· Assist with tracking remedial actions identified from file reviews and audits
· Ensure records are updated accurately and promptly
File Closing and Archiving
· Close physical and electronic files in accordance with mfg's procedures
- ensuring all required documentation is present and properly filed and assigning retention periods in line with legal and regulatory requirements
- preparing files for secure storage, ensuring correct labelling and indexing
· Assist with archiving of client files and matters, including archiving database management, training colleagues, dealing with archiving queries
· Accurately update records management systems and databases with file closure details where files have been retrieved from archiving and are being returned.
· Assist with GDPR compliance, through the destruction of relevant data
· Update relevant databases
Training and Team Support
· Provide administrative support for compliance training sessions
· Train colleagues on file closing procedures and policy
General Duties
· Support wider compliance projects and initiatives
· Undertake general administrative duties, where required
· Assist with maintaining accurate filing and document management systems
GENERIC RESPONSIBILITIES AND EXPECTED STANDARDS
· Assist with the implementation of good working practices, maintain a high standard of work and client service/care within your area of responsibility, in accordance with the firm's policies, procedures and guidelines and/or as directed by your line manager.
· Use initiative on all matters.
· Ensure confidentiality and security for all firm and client documentation and information.
· Undertake any specific training as and when required.
· Effectively demonstrate the firm's values and behaviours at all times.
· Maintain clear and precise communications with, and assist, colleagues as required.
· Develop good working relationships with external institutions, organisations and other third parties.
· Ensure that any equipment supplied for the purpose of your work is used correctly, maintained and any defects/faults are reported.
· Ensure that Health & Safety principles and safe working practices are followed at all times. Employees have a legal duty that gives them responsibility, so far as is reasonably practicable, to ensure that they do not endanger themselves or anyone else by their acts or omissions.
· Cooperate with the firm on Health & Safety matters and do not interfere with or misuse anything provided for health, safety and welfare purposes.
· Keep areas of work clean and tidy.
· Carry out their work with due regard for the environment.
PERSON SPECIFICATION
Skills, Knowledge, Experience and Attitudes
· A proficient level of literacy and numeracy.
· Experience of data entry and text processing, with a high level of attention to detail and accuracy.
· Competent IT skills, including Microsoft Office applications.
· Experience of working within a team environment, and able to interact effectively with others.
· Committed to excellent client service.
· Highly motivated, driven and enthusiastic.
· Uses initiative and works creatively.
· Proactive, adopts a can-do attitude and willing to learn.
· Flexible to work across different mfg offices.
· An understanding of and adherence to General Data Protection Regulation, maintaining confidentiality and integrity at all times.
· Experience of working in compliance desirable but not essential.
· Strong administrative and organisational skills.
· Good written and verbal communication skills.
· Ability to manage confidential information professionally.
· Ability to work independently and as part of a team.
SUMMARY
The details outlined in this job description reflect the content of the post at the date the job description was prepared. It is inevitable that over time the nature of a defined job role will change, existing duties may be lost and other duties gained without changing the general character of the work or level of responsibility entailed. It is intended that this job description will be revised from time to time in discussion with the post holder.
In addition, you may be expected to perform other duties commensurate with this position or as required to assist the business needs. Any additional tasks will be kept within your abilities and skills range, and training will be provided if necessary. Such agreement should not be unreasonably withheld.
Pay: £23,500.00-£24,000.00 per year
Benefits:
- Company pension
- Referral programme
- Sick pay
Work Location: In person
