Jay Chopra Email & Phone Number

London Area, United Kingdom

Galleria is a Consulting business that delivers expertise, objective insights, and tailored approach to help businesses confidently face the future. We identify root causes of issues or weakness to prevent recurrence. • Successfully launched a consulting business to provide legal advice, compliance management and consultancy services to a wide range of clients. • Delivering innovative solutions and strengthening client’s business across the competitive business landscape. • Helping businesses optimise performance, monitoring compliance policies, and aligning deliverables with SRA, AML, and FSA regulations. • Assisting clients in consultation areas including Solicitor Regulation Handbook, Legal Aid Contract Compliance, UK mortgage Lender’s Handbook for Conveyancers, CQS and AML regulations. • Providing risk mitigation and management assistance to prevent the implications of penalties, fines, sanctions and loss of business and reputation. • Thoroughly organise the process of risk management by identifying, assessing and monitoring compliance risks. • Facilitating managerial duties to improve operations and deliver workplace wellness services. • Producing developmental strategy, compliance guidelines, employees’ compliance training programs and awareness sessions to educate business owners, managers and staff about regulatory compliance according to SRA, AML and FSA. • Diligently drafting and reviewing policies, procedures, risk registers, terms of business, Internal checklists, file review forms and client care correspondence.

• Provided high-end services of Regulatory Compliance and Risk Management Consultancy Services to multiple clients at SPBK Ltd. • Regularly monitored and reviewed compliance procedures of firms to ensure effective compliance and best practices in key areas. • Conducted file reviews and audits to ensure employees complied with regulatory requirements and necessary procedures. • Conducted compliance health checks timely to review compliance procedures periodically or annually and ensure SRA, LAA and MLR compliance. • Processed LAA audits and file reviewed ensuring compliance, efficiency and recovery at the billing stage.• Provided support in LAA compliance to guide new and existing providers on contract compliance while providing organisations with a strong understanding of obligations and compliance in key areas. • Supported the development of risk-based compliance policies, Manuals, AML procedures, File Review Forms, Compliance Plans, Risk Registers and Management Control Systems. • Advised and guided on general compliance matters including interpretation and implementation of the SRA handbook, MLR regulations, Lexcel and ISO 9001 standards, and LAA compliance. • Assisted in performing COLP and COFA duties while supporting to new and existing COLP/COFA guidance.

Nottingham, United Kingdom

• Diligently assisted in the process of audit, reconciliation, identification of account breaches and distribution of client funds by managing high-end client accounts. • Conducted in-depth risk assessment of the firm in liquidation including client, office and the business to identify breaches of SRA and LAA regulations.• Oversaw audit of client debtor matters for recovery purposes. • Managed a range of procedures including client matters, audit and investigation of third-party matter creditors, client-related complaints and destruction of client matters. • Efficiently managed team while assisting with recovery purposes and auditing and processing unbilled LAA matters. • Strategically provided solutions to complex LAA matters for recovery purposes.

Birmingham, United Kingdom

Compliance & Management services to the legal sector. Services include:Education & Training• SRA Handbook • LAA Contract Compliance• CML Handbook• MLR• GDPRAudits • one-off, periodical or annual health-checks ensuring businesses meet the above • compliance policies & procedures• client files to measure quality of supervision & standard of fee earnersRescue • guidance & hands-on assistance to businesses that are under regulatory investigation or consider them to be in breach of regulatory outcomes/standards• turnaround solutions to legal aid providers that have been or at the risk of sanction by the LAAMonitor• regular reviews of existing compliance procedures & processes to ensure effectiveness of compliance & best practicePolicies• drafting risk-based compliance policies & processes• introducing file review forms, AML procedures, compliance plans, risk registers, & management controls and systems• assistance in setting-up compliance policies & proceduresManagement Support• COLP & COFA duties• client account balances• turnaround of WIPAccreditations• Law Society CQS accreditation • Legal Aid SQM accreditationLegal Aid Compliance• assistance to existing and new set-ups to obtain and / or improve LAA quality standards• assistance & guidance on LAA contract compliance to ensure that businesses understand their obligations & know how to demonstrate compliance in key areas• audits to assess general performance of LAA compliance standards• LAA file reviews to ensure compliance, efficiency & successful recovery at billing stage• LAA controlled matter reviews covering client eligibility, evidence & compliance on levels • assistance in the process & submission of LAA bills for purposes of recovery of maximum costs GDPR Compliance • guidance and training on GDPR compliance• review of existing systems & policies and making recommendations

United Kingdom

• Played an important role as a point of contact for SRA and LAA while assessing compliance and advising firms regarding laws, regulations, standards of good practice and code of conduct. • Assured companies complied with SRA and LAA by training staff members on regulatory responsibilities and limiting illegal and unethical conduct and processing across the company. • Fostered compliance culture across the organisation while interacting with senior management to emphasize the importance of compliance procedures for a successful business.• Strategized auditing and risk assessment process across the company by introducing a “File review system” ensuring effective solicitor supervision and improvement in compliance. • Facilitated company with control processes to investigate, monitor and resolve issues while providing “inactivity reports” from the firm’s case management system to reduce delays in services to clients. • Produced and managed internal audit procedures that consisted of a file review system, inactivity report analysis, on-site file audits and IT monitoring systems. • Developed and provided Employee Compliance Training Programs that included client inception, client due-diligence checks and handling conflicts of interest checks while delivering training through induction courses, workshops, CBT and email or intranet updates.• Actively initiated and introduced monthly compliance management meetings with senior management and compliance team meetings with supervising solicitors and their teams to ensure a smooth flow of communication. • Proactively engaged with staff and employees at all levels to monitor compliance, promote awareness and knowledge, discuss performance, identify key areas of improvement and address issues.

Birmingham, United Kingdom

• Personally established MJ Regal Solicitors to provide legal services for commercial and residential property transactions. • Efficiently provided legal services and advice to buyers and lenders holding high-end financial service organisations.• Collaborated with banks and financial services organisations to deliver consultation services and training on AML and compliance matters. • Provided compliance policies and procedures for AML and KYC while aligning with Law Society and FSA regulations. • Introduced a review system to facilitate the completion of property transactions aligning with regulatory guidelines that resulted in the registration of 95% of land registry charges within 4 weeks. • Prevent the negative impact of 3rd party intervention on service levels and legal or regulatory requirements by developing well-structured procedures and documentation.

Birmingham, United Kingdom

• Co-founded the company with a business partner and served as the Compliance and Finance Officer under Law Society regulations. • Provided legal services for residential and commercial property transactions.• Worked with high-end financial service clients to provide advice on British Law and FSA regulations. • Promptly developed AML and KYC procedures according to Law Society and FSA regulations.

Birmingham, United Kingdom

• Provided services to a range of clients including individual and plot property transactions. • Managed conveyancing and law matters for residential and commercial clients. • Oversaw contracts obligations and compliance to general regulations and proceedings.

United Kingdom

Dedicated to provide high-end legal services, advice and solutions to clients with a proactive approach to professional development and problem solving mindset.

Diploma In Anti Money Laundering

Pre-Llb Legal Diploma, Law

Llb (Hons), Law

Legal Practice Course, Law