Legal Advisor Compliance

Compliance

Reference ID

AL973

Category

Compliance

Salary

to c £50,000 pro rata + benefits

Contact Person

Angela Liscombe

Job description

Legal Advisor Compliance

Nottingham City Centre (our Ref AL973)

Part time, 3 days per week, salary to c£50,000 pro rata + excellent benefits

 

My client is an established and respected financial services organisation in Nottingham City Centre and they are looking to appoint an experienced Legal Advisor to work within their Compliance Team.

You will be responsible for assisting in compliance legal matters and providing advice in legal documentation, contracts and negotiations and interpreting legislative change and business risk.

Main Job Duties

·        Assist with the preparation and maintenance of fund related legal documentation.

·        Maintain and update databases and tracking systems

·        Contribute to the regular review and publication of the Compliance Manual.

·        Assist with the review and maintenance of legal documentation relating to key third party suppliers.

·        Assist with root cause analysis of any complaints received from customers.

·        Promote a robust compliance culture and high standards across the firm.

·        Carry out duties in accordance with agreed professional standards and codes of conduct.

·        Identify emerging regulations and perform gap analysis on current practice to assist with regulatory horizon planning for the company.

·        Assist external auditors with requests for information and data.

·        Provide legal technical support to all operational teams.

·        Prepare KPI and MI for internal committees and the Board.

·        Assist the team with ad-hoc projects and investigations as directed.

Qualifications

·        Experience of working in financial services or other highly regulated industry preferred.

·        Legal practising certificate required.

·        5 years+ relevant industry experience preferred in law firm or corporate environment.

·        Degree level or equivalent qualification preferred.

Skills and Competencies

·        Professional attitude and appearance.

·        Ability to communicate professionally with internal and external stakeholders.

·        Strong written and verbal communication skills.

·        Ability to be resourceful and proactive when issues arise.

·        Excellent planning and organisation skills.

·        Excellent multi-tasking and time-management skills, with the ability to prioritise tasks.

·        A flexible and collaborative attitude towards duties and responsibilities.

·        Familiarity with the FCAs Principles for Business and their practical impact on regulated firms.

·        Good attention to detail and accuracy.

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications but occasionally, due to overwhelming response, this is not always possible.  Should you not hear from us within 10 days please assume your application has been unsuccessful.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

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