Quality & Risk Officer

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.

Shoosmiths LLP is authorised and regulated by the Solicitors Regulation Authority (SRA) and is also recognised as a multi-national practice with the Law Society of Scotland which regulates Scottish activities. We are also authorised and regulated by the Financial Conduct Authority (FCA) to carry out financial services regulated activities, including but not limited to insurance mediation and investment services. Shoosmiths (Northern Ireland) LLP is regulated by the Law Society of Northern Ireland.

Are you passionate about compliance? An exciting opportunity has arisen to join an established and well regarded Quality & Risk team in the legal sector.

The Q&R team works across the offices and enjoys an excellent position at the heart of the business.  Its aim is to ensure that the firm meets all of its regulatory and legislative objectives and ensure that risk management processes are embedded into the firm’s culture.

• Reporting to the Quality and Risk Manager
• Providing support to the Quality and Risk team on initiatives and day to day Q & R issues
• Providing support to the Quality and Risk Manager in dealing with complaints and liaising with the Legal Ombudsman
• Dealing with queries on all aspects of the SRA’s Codes, the Law Society of Scotland’s rules and the Law Society of Northern Ireland’s rules.
• Dealing with AML and conflict queries as required
• Assisting in the rolling-out of quality and regulatory initiatives across the firm and handling of day to day quality and risk issues
• Being involved in Q&R projects to manage risk across the business
• Assisting in the design and development of effective policies and procedures
• Undertaking research into regulatory and legal issues
• Helping the firm to meets its regulatory and strategic objectives 

Experience

Required:

• Excellent understanding of quality, risk and compliance issues
• Good understanding of the working of a law firm
• Experience and understanding of conflict and confidentiality issues in a law firm
• Experience and understanding of complaints procedure and resolution

Desirable:

• Proven experience of working in a compliance function
• Detailed knowledge of SRA regulation
• Knowledge of the Law Society of Scotland rules and being able to advise accordingly
• Detailed knowledge of and being able to advise on money laundering legislation including CDD, source of funds enquiries, SARs, sanctions and PEPs
• Experience of PI insurance and the claims process, including claims resolution and/or mediation

Personal Attributes

• Energetic and self-motivated
• A solution based approach  
• A passion for quality, risk and compliance
• Ability to think independently and engage with and influence colleagues at all levels.
• Excellent written and verbal communication skills with ability to communicate at all levels.
• Strong team ethic and desire to collaborate with other team members and others in the firm to improve systems and controls
• Able to assimilate large amounts of information extracting key information for high level reports
• Excellent attention to detail.
• Strong analytical skills.
• Good IT skills.
• Demonstrates commercial acumen and a pragmatic attitude.
• Good organisational skills 
• Able to adapt and cope well under pressure

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. 

Equal opportunities

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.

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.