Quality Assurance Assessor

A leading UK law firm with a network of offices from the South Coast to Scotland, working together as one national team. An innovative practice and the first top 100 law firm to achieve “Gold Standard” Investors in People, our values and culture are not just words on our website but are the heartbeat of the firm. The lack of barriers between departments, a real lack of hierarchy, zero tolerance for arrogance and pomposity makes Shoosmiths a fantastic place to work.

The Quality Assurance Team (QAT) is responsible for the routine monitoring of all teams ensuring that Practice Groups adhere to (and can evidence that we are adhering to) the set regulatory requirements. The QAT is also responsible for providing the Executive with up to date and timely information on key risks and issues across the Practice Groups. 

The Quality Assurance Assessor will be competent in the technical and procedural requirements to undertake file monitoring of legal advisers and others within the Practice Groups, to ensure compliance with relevant regulatory and specific client requirements.

• To undertake and document file reviews in accordance with the agreed File Monitoring standards and respective Division Practice Standards, in a timely manner, to provide evidence allowing the Division to monitor its compliance with regulatory, legal and client standards;
• To liaise with Supervisors to provide monthly reports of file audits per legal adviser and other staff to be used for feedback in 1-2-1s and to ensure that any areas where non-compliance is identified are flagged up to allow the Supervisor to resolve the identified issues swiftly;
• To liaise with Supervisors/Trainer where material non-compliance is identified such that:
  • the case handler and/ or team in question is re-trained;
  • the process is reviewed and amended where necessary
• To provide monthly trend analysis on issues identified during file monitoring to the respective Division management team;
• To work with other first line of defence assessors and the second line of defence Quality and Risk team to enhance file monitoring processes;
• To provide appropriate MI to the Division head and other unit managers as required.

Liaise with other internal teams as appropriate

General responsibilities

Supporting senior managers in providing compliant services To be familiar with and follow the Division working practices, procedures and processes Comply with all of the firm's policies and all regulatory requirements Control and manage your workload effectively and efficiently using the relevant case management systems and IS resources and processes appropriately Be responsible and accountable for your workload including meeting internal and client SLA requirements Be aware of associated areas of law impacting the Unit's delivery of its service, and keep up to date with any associated legal or regulatory changes Recognise any potential issues in cases and refer these appropriately Attend and complete any training in a timely manner Attend internal and external meetings as required and assist in implementing changes to any Unit procedures.

• Good understanding of the agreed File Monitoring standards; respective unit Practice Standards and any specific client requirements in relation to file monitoring
• IT literate with experience of using Word, Excel and the internet
• Good written, numeracy and oral communication skills
• Accuracy and attention to detail
• Ability to prioritise, be organised and efficient
• Flexibility with the capability to adapt to change, new practices and cope under pressure but with the ability to recognise when to seek assistance
• Able to integrate within a team and able to work on your own initiative
• Friendly and helpful approach
• To work with integrity and impartiality

• Performance Standard

• Act at all times in accordance with the ValuABLE criteria
• Treat your colleagues, clients and their customers and third parties with respect
• Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted.  These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years, Personnel Vetting credit search (which will only highlight insolvency or County Court Judgments - should any adverse data show on the Personnel Vetting search then any offer of employment made will be withdrawn).Terrorism Check (against data supplied by the Bank of England) and a DBS check previously known as a Criminal Records check.  

Shoosmiths is a committed Equal Opportunities employer promoting equality of opportunity. This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.