Compliance Officer

We are looking for a compliance officer to join our firm who will be responsible for ensuring we are compliant in all aspects of regulatory and legal requirements. The successful candidate will assist management and staff to identify and manage regulatory risks. 

Main Functions and Responsibilities

• Provide support and on-going assistance to the COLP; COFA; MLRO and DPO in their daily compliance activities.
• Ensure we are compliant at all times with government and SRA regulations.  Investigate any irregularities.
• Monitor compliance – ensure that CI complies with legal and ethical guidelines.
• Identify potential risks – identify activities and practices that risk violating regulations and SRA standards.
• Manage conflict queries and higher risk conflict queries with the relevant Officer.
• Perform routing risk assessments to understand compliance risk, scope and significance.
• Administration tasks as required to ensure all policies, plans and procedures are kept up to date.
• Assist the Operations Team with tasks as required.

Requirements and Skills

• Regulatory Knowledge, which laws and regulation apply to CI.
• Data Analysis, analytical skills to research and interpret data.
• Good computer skills, knowledge of Office 365.
• Excellent communication skills, the ability to communicate regulations and laws to all employees.
• Critical thinking, assess guidelines and be able to put them into practice.
• Problem solving, identify risks of noncompliance and ensure these are mitigated and eliminated.
• Excellent attention to detail.
• Ability to multi-task, set priorities and manage time effectively.
• The ability to work independently.
• Previous legal sector experience is desirable.

The Role

• Working hours: 9:00am to 5:30pm, Monday to Friday
• Location: Clifton Ingram’s Wokingham office

The Firm

Clifton Ingram is well established and recognised by Legal 500 as a Leading Firm with offices in Farnham, Reading, and Wokingham to cover Berkshire, Surrey, and Hampshire. Our core values of being supportive, responsive, and trusted are important qualities of all colleagues within the firm and feed into the service we deliver to our clients.