Legal Compliance Officer

Overview:

This is a broad and varied role, covering all aspects of compliance and risk related matters as they pertain to a limited liability partnership (LLP). Working alongside the Director of Legal Operations and Compliance, the Managing Partner and the Senior Partner, the successful candidate will be responsible for ensuring that any compliance and professional risks are identified and managed. The role will also include ensuring that the firm is compliant with the regulatory requirements of the Law Society of Northern Ireland and other legislative bodies.

Responsibilities:

• Ensuring that legal and regulatory risk and compliance issues are identified, monitored and addressed proportionate to the firm’s key business objectives, targeting resources (internal and external) to managing risks that have the potential to expose the firm, clients and employees;

• Providing input into business and strategic decisions from a compliance perspective;

• Managing the firm’s risk and incident registers;

• Undertaking and managing investigations of potential compliance issues;

• Preparing regular reports to the Risk Committee on risk and compliance issues, identifying developing trends and areas of risk and proposing suitable solutions for mitigating risk;

• Coordinating the in house file review process;

• Conducting regular reviews of the firm’s risk and quality compliance policies and procedures and ensure that reviews take place within the appropriate time period;

• Assisting with ISO and other quality accreditation schemes;

• Implementing appropriate risk and quality management training programmes for all staff to ensure compliance with all relevant regulatory and legislative requirements;

• Working closely with all Departments across the firm, to develop enhanced processes to mitigate risk and delivering training on new and existing policies and procedures;

• Resolving potential conflicts of interest as between clients or prospective clients;

• Ensuring compliance with the firm’s onboarding process; and

• Providing support for tender applications.