Risk & Compliance Executive

Position - Risk and Compliance ExecutiveLocation - Bishop’s StortfordSalary - £35k - £45kOverall PurposeTo assist the Partners, Risk and Compliance Team and the wider firm to adhere to regulatory requirements, legislation and best practice.Main Tasks To ensure compliance with legal requirements and professional rules by the firm and its staff, working in conjunction with the firm’sManaging Partner (COLP) Head of Risk and Compliance Risk and Compliance Manager Money Laundering Reporting Officer (MLRO) Data Protection Officer (DPO) Head of HR, Finance and IT Complaints handling, to include liaising with clients and staff, investigating concerns and preparing written and oral responsesConducting regulatory and thematic file reviews and managing the firm’s central record in this regardAssisting with data protection compliance including the management of data subject access requests and review of data breachesResponding to day-to-day queries from staff on issues such as AML, sanctions, confidentiality, and conflicts of interestReviewing and improving the firm’s policies, procedures and client facing informationUpdating the Risk and Compliance Team records, analysing data and producing reports where requiredAssisting with notification requirements under the firm’s professional indemnity insurance