Working alongside the firm's Practice Director assisting with a range of projects and tasks including:-Responsibility for day-to-day management of compliance for the firmManaging and mitigating day-to-day riskManaging all relevant legislative and regulatory requirements, ensuring compliance with the relevant frameworks and all SRA standards and regulationsDesigning and embedding policies and proceduresMonitoring and reporting of compliance matters to the Practice Director and the PartnersEnsure the firm's risk management and compliance reporting tools are up to date and remain fit for purposeConduct compliance training for staff as and when required, including inductionsResponsibility for risk management as it applies to the firm's premises and staff including management of Health and Safety risks. Production of compliance reportsManagement and administration of the firm's quality marks - Lexcel, ISO9001, Lawnet Quality Standard and the Conveyancing Quality Scheme

Risk and Compliance ExecutiveWorking within the firm's newly centralised compliance team. My duties include:-Assisting with risk and compliance queries.Ensuring compliance with both internal and external requirements.Conducting file reviews.Conducting money laundering checks.Assisting with file opening.Assisting with preparation for Lexcel and CQS assessments.

Compliance ManagerWorking alongside the firm’s Compliance Partner assisting with a range of projects and tasks to include:-Assisting with reporting notifications to the firm’s professional indemnity insurer. Investigating and responding to client complaints including liaising with the Legal Ombudsman.Advising colleagues on maintaining compliance through scheduled auditing.Collating compliance data and populating compliance reports for presentation to theFinance Director, Managing Partner and Compliance Partner at monthly meetings.Implementation of a compliance specific training manual and providing compliance training.Annual Lexcel submission and audit Lexcel version 6 implementation.Advising colleagues with a range of queries relating to their obligations under the Code of Conduct for Solicitors 2019, including: conflicts, ethical issues such as acting for vulnerable clients, money laundering and source of funds/source of wealth queries.Drafting firm-wide compliance bulletins.Reviewing the firm’s policies, processes and procedures.Ensuring compliance with the Anti-Money Laundering, Terrorist Financing and Transferof Funds (Information on the Payer) Regulations 2017.Member of Equality & Diversity Committee.

Client Services Co-ordinatorWorking within the Corporate team enabled me to gain commercial awareness within the financial services industry.Building rapports with a dedicated portfolio of clients.Ensuring compliance with FCA & TCF requirements. My work was subject tomonthly audits.Membership audits and liaising with group secretaries to ensure membership data accuracy.

Quality & Regulatory Assurance Co-ordinatorInternal auditing and auditing of suppliersEnsuring compliance with ISO 9001, ISO 13485, & Medical Device DirectiveCo-ordinated FDA submission