Regulatory Associate

Regulatory Associate – Risk and Compliance

Nockolds Solicitors are a leading Legal 500 and Chambers Law Firm with offices in Bishop’s Stortford, London, and Spain. We are in the Sunday Times Best Companies to Work For and have been accredited with Investors in People Gold since 2012.

Due to our continued expansion, we are seeking an experienced Regulatory lawyer to join our Risk and Compliance team in the Bishop’s Stortford office with regular visits to the London office. As part of our in-house Risk and Compliance Team, you will provide specialist legal advice and support to management and staff on all aspects of regulatory compliance affecting the firm. This is a key role, helping to ensure that the firm continues to meet its regulatory obligations and maintain high standards of client care and compliance. We will consider full-time or part-time applicants.

You will be responsible for:

• Supporting the firm’s Compliance Officer, Money Laundering Reporting Officer and Data Protection Officer on the SRA Standards and Regulations, anti-money laundering compliance, and data protection, including assisting with any audits and investigations
• Providing clear and practical advice to staff on regulatory issues and queries, for example, confidentiality, conflicts of interest and separate business requirements
• Reviewing and updating the firm’s suite of compliance policies and procedures and communicating changes to staff
• Supporting staff with professional negligence matters and liaising with insurers
• Designing and delivering training for staff on compliance and regulatory matters
• Conducting Regulatory, AML and PEP file reviews and liaising with staff on corrective action
• Monitoring the evolving regulatory landscape and suggesting and implementing changes to ensure the firm’s continuing compliance
• Monitoring any risks in connection with our separate businesses

You will be a qualified lawyer with 3 – 5 years’ pqe and have prior experience in a risk, compliance, or regulatory advisory role within a law firm. You will have experience of handling complaints and/or professional negligence claims and reviewing and drafting policies and procedures. You will have strong interpersonal skills to build good working relationships internally and be confident when dealing with third parties, such as clients, regulators, ombudsman services, assessors, etc

You must also have an in-depth knowledge of SRA Standards and Regulations, AML legislation and data protection and be able to identify and assess risk and to use trend analysis to recommend changes. An interest in emerging risks around AI and cybersecurity would be advantageous.

Benefits include a competitive salary, 25 days holiday, Contributory Pension Scheme, Life Assurance, health cover, discretionary annual bonus scheme, and hybrid working.

For further details visit www.nockolds.co.uk.