Senior Associate - Risk and Compliance
- Southampton
- Permanent
- Full-time
- We are in a period of exclusive direct sourcing for this role and are not currently accepting applications from recruitment agencies.
- Role: Senior Associate - Risk and Compliance
- Team: Business Excellence (Risk and Compliance)
- Location: Southampton (hybrid)
- Working Pattern: Full time
- Why this role matters: This opportunity plays a key role in the day-to-day responsibility for all matters within our compliance and audit function. It is a fantastic opportunity to develop your experience and career in an ambitious and supportive environment.
- Be the primary reference point on compliance and related risk queries including on the Codes of Conduct (including client care, conflicts, confidentiality and information barriers), financial crime (particularly anti-bribery, and AML including sanctions and high-risk third country due diligence), limiting liability, supervision, audit and file review.
- Be responsible for the maintenance of the firm's regulatory breach register and advising on responses and remedial actions following any breaches.
- Assist with implementing and the effective operation of business acceptance/file-opening systems including electronic PEP and sanctions searches.
- Draft, amend, implement and ensure consistent adherence to the firm's risk and compliance policies and procedures.
- Take a lead role in conducting internal file and supervisory audit, including reporting and any follow-up.
- Assist with responding to client questionnaires, tenders, etc as regards compliance and audit.
- Strive for continuous risk and compliance improvement.
- Be Deputy MLRO when ready.
- Share our passion for innovation, collaboration, and achieving great things together.
- 5-8 years PQE with strong knowledge of AML, the Codes of Conduct and the wider SRA regime.
- Solid analytical and drafting skills.
- Commercial and pragmatic with sound judgment and decision-making skills.
- Strong communication skills, with a measured approach which instils confidence and sense of support whilst delivering appropriate risk and compliance messaging.
- A Team-centric personality, relationship-builder.
- A service-focus, quality-driven, can-do attitude.
- Resilience, with energy and enthusiasm for enhancing risk management.
- An ambitious growth strategy that opens up opportunities for our people to make their mark.
- A client base that spans household names, thriving startups, and ambitious enterprises.
- A culture built on our values of being refreshingly human, entrepreneurial, inclusive and collaborative.
- A strong focus on being a responsible business with a commitment to sustainability and giving back to our communities.
- Comprehensive professional development and training - whatever your role and level we have training that will support you to achieve your goals.
- Awards and Accolades: A Top 100 UK Law Firm ranked across Chambers UK and Legal 500.
- Competitive salary and performance-linked bonus.
- Enhanced parental leave policies.
- Private healthcare and wellbeing initiatives (e.g., mental health support, gym memberships).
- An open, flexible working environment.
- Find out more about our benefits and work environment here
- Hit the "Apply Now" button.
- Send us your CV and a quick note on why this role is perfect for you.
- Our team will review your application and be in touch, whatever the outcome.
- Invited for interview?
- With a straightforward process typically involving two interviews, our talent acquisition team will guide you through every step, ensuring you feel confident and prepared to show us what you can do.
- We're here to support your individual needs. If you require any adaptations or adjustments, we're more than happy to accommodate these. Before your interview, we'll contact you to discuss the themes we'll cover and answer any questions you might have.
- If you'd like to visit our offices prior to your interview or would like help testing your kit for your virtual interview, just let us know.