Compliance Administrator

Our client is seeking a Compliance Administrator to join their dynamic and close-knit team.

In this key role, you will support the business in maintaining its strong commitment to ethical standards and compliance. As Compliance Administrator, you will play an integral part in ensuring the company continues to uphold the highest levels of professionalism across its operations.

This position requires a solid understanding of compliance principles and the ability to confidently navigate regulatory requirements within a professional services environment.

Company Benefits:

• Private healthcare
• Bonus scheme
• Competitive pension scheme

Key Responsibilities:

• Acknowledge and manage formal complaints in line with company policy

• Investigate complaints, liaise with Fee Earners (FEs), and draft responses for approval

• Maintain the Complaints Register and ensure compliance with timescales

• Handle escalated complaints to the Legal Ombudsman, SRA, ICO, and third parties

• Identify complaint trends and report potential training needs

• Prepare monthly reports for Branch Heads and quarterly reports for Management

• Manage and investigate data breaches in accordance with internal policy

• Support FEs in resolving breaches and report outcomes to the ICO and compliance team

• Maintain an accurate Central Register of data breaches

• Regularly review and update data protection processes

• Review and manage Client Due Diligence (CDD) risk assessments

• Record and maintain high/medium-risk client data

• Handle Suspicious Activity Reports (SARs) and determine risk levels

• Compile AML reports, including annual reports to the Board

• Monitor regulatory updates and advise on required changes

• Arrange and manage AML-related staff training

• Maintain and update all key compliance registers, including:

• Complaints, AML/CTF, Data, Conflicts, Gifts, Undertakings, File Reviews, Claims, Sanctions, and more

• Prepare quarterly reports and other compliance updates

• Use central registers to support audits, risk reviews, and training planning

• Conduct monthly file audits and quarterly peer reviews

• Record and follow up on findings and action points

• Review ad hoc files and log outcomes

• Oversee file reallocation and ensure physical/electronic files are transferred correctly

• Manage change of Fee Earner processes and charge rate updates

• Organise internal and external training sessions

• Maintain training logs and Continuing Competence records

• Monitor and update office manuals and compliance procedures

• Communicate policy changes across the business

• Induct new staff on compliance and health & safety policies

• Ensure all offices have sufficient first aiders, fire marshals, and safety equipment

• Maintain accident records and oversee annual risk assessments (including COSHH and DSE)

• Conduct homeworking risk assessments

• Liaise with external safety support providers as needed

• Support Management with negligence claims and liaise with insurers

• Review and update client care letters, precedents, and terms of business

• Ensure compliance with SRA transparency rules

• Coordinate file archiving and destruction processes

• Compile and submit reports, including SRA diversity data

• Maintain awareness of regulatory changes and cascade updates internally

• Assist Managing Director with policy planning and regulatory compliance

Experience and Skills Requirements:

• Degree in business, compliance, or a related field preferred but not essential.
• Previous experience in a compliance, risk, or governance role in a regulated or professional environment.
• Strong understanding of compliance and regulatory frameworks.
• Excellent attention to detail and analytical skills.
• Confident communication and interpersonal skills.
• Ability to work effectively both independently and within a team.
• Proficiency in Microsoft Office and relevant systems.

If you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.