DESCRIPTION

Geldards LLP is a leading regional law firm with offices in Cardiff, Derby, Nottingham and London. We are currently recruiting for a Best Practice and Risk Manager to join our Best Practice and Risk team in our open plan and collaborative Cardiff office.
As Best Practice & Risk Manager you will work with the Head of Best Practice and Risk (“HoBP”) in order to provide comprehensive assistance to the Risk & Compliance team in order to ensure the Firm meets its regulatory obligations, in particular through the effective operation of the Firm’s combined quality, risk, compliance & information security system across all offices.

SKILLS, KNOWLEDGE AND EXPERTISE

• Appropriate professional qualifications
• Excellent IT skills - Familiarity with MS Office suite of products (e.g., Word, Excel, Outlook) with a systematic approach to documents and use of IT and attention to detail.
• Always work in a cross functional manner as is necessary to meet the Firm’s vision and value statements.
• Ability to communicate ideas, arguments, and information clearly and concisely – both orally and in writing.
• Excellent project management and organizational skills.
• Ability to work under pressure, prioritize and meet deadlines.
• High attention to detail and accuracy, and committed to providing a quality-assured service.
• Ability to work in team framework.
• To be able to project a professional image and deal confidently with clients
• Proactive and self-motivated – able to take forward projects on own initiative and work in a team environment.
• Has enthusiasm, intellectual curiosity, and the ability to keep on top of documentation and appointments, recording key dates and adhering to firm processes and procedures.
• Keeps abreast and on top of new developments in law, practice and industry and has the ability to translate this knowledge for others.
• Personable and flexible in approach.

• Management of the Firm’s professional indemnity insurance claims, including liaising with and reporting to the Firm’s insurers.
• Management of and assistance to the Chairman and Head of Best Practice & Risk in relation to client complaints.
• Liaising with credit control on debts where allegations of negligence are made.
• Preparing routine reports to the Executive and others.
• Investigating and reporting on compliance breaches, in particular data breaches.
• Monitoring and following up actions arising from compliance breaches.
• Maintenance of Team registers, ensuring that they are updated accurately and in a timely fashion.
• Monitor and chase all follow up actions required following any incident, breach, concern, report or audit finding and escalate any failure to take action.
• Implement and monitor any routine vetting activities required under the SmartWorks System from time to time.
• Manage appropriate Team actions required under the Team’s compliance calendar.
• Monitor incoming emails in the Team’s shared mailboxes and (where required) allocate the actions to the appropriate Team member.
• Preparing reports and management information (including collation of data for the Annual Review)
• Conducting reviews of files for internal audit purposes and to assist the investigation of matters arising from breaches, complaints or claims.
• Undertaking relevant training on ISO and quality management and assisting in internal and external audits where necessary.
• Working with the Money Laundering Reporting Officer to ensure compliance with the Money Laundering Regulations on client take on and monitoring.
• Updating AML PCPs, including the Firmwide Risk Assessment and other policies and procedures, when needed.
• Undertaking regular audits of files opened by the Firm’s CMI team to ensure compliance with the Money Laundering Regulations on client take on and monitoring.
• Where necessary, reviewing and answering AML, conflict and other compliance queries raised by legal teams.
• Assisting in the preparation of risk assessments and policies in support of any new legislation which may affect the Firm.
• Assisting in relation to the Firm’s sanctions policy where necessary.