Risk and Compliance Assistant
An established professional services organisation is seeking a Risk & Compliance Assistant to join its growing law firm. This is a varied role suited to a proactive individual who enjoys working across compliance, regulatory administration, and operational risk processes, supporting colleagues across the business.
The successful candidate will be an organised all-rounder, comfortable managing multiple compliance activities and engaging with stakeholders at different levels.
Permanent
Monday to Friday 40hrs per week
Buckinghamshire
Duties of the Risk and Compliance Assistant
-
Managing client onboarding and due diligence processes, including ID verification and documentation review.
-
Supporting AML monitoring, sanctions and PEP screening, and escalation of relevant findings.
-
Assisting with source of funds and source of wealth reviews, maintaining accurate compliance records.
-
Administering identity verification systems and supporting colleagues with related queries.
-
Accreditation & Audits.
-
Supporting the investigation and handling of complaints and regulatory correspondence.
-
Assisting with regulatory audits and accreditation processes, ensuring documentation is prepared and maintained.
-
Updating internal policies, procedures, and compliance registers.
-
Managing and responding to risk and compliance queries received via shared inboxes.
-
Ensuring updated Sanctions lists are forwarded as and when received.
-
Dealing with complaints.
-
Monitoring regulatory updates and assisting with implementation of process changes.
-
Supporting general risk and compliance administration across the organisation.
Experience required for the Risk and Compliance Assistant
-
Previous experience within a law firm risk and compliance function (2-5 years - essential).
-
Working knowledge of AML, regulatory compliance, and client due diligence processes.
-
Strong organisational, documentation, and stakeholder communication skills.
-
Ability to manage multiple priorities within a professional services environment.
-
Must have a driving licence
