This candidate is currently working within the Risk Team at an International Law Firm, beginning this role as a Risk Paralegal and then becoming a Risk Assistant position.
They have loved this role so far and feel it has been a great first exposure to Risk.
This candidate is wanting their next role to have some more responsibilities so they can continue to learn, grow and develop.

Experience

Legal Risk Assistant | International Law Firm | 2023 - Present

• I directly report to and support the Head of Legal and Regulatory Risk. I also support two senior Risk Lawyers, a senior Knowledge Development Lawyer, a Risk Advisor, a Professional Indemnity Lawyer, and a Client Audit Manager. We make up the Risk Management team within the Legal and Regulatory Risk department. We handle all risk management and audit-related issues.
• I cover the Client Audit Manager when on leave to ensure compliance and review business processes which includes liaising with Business Development, Information Security and IT to compile information required for client pitches and due diligence exercises. I work closely with Information Security and IT teams on fraud (including phishing attacks) and cyber-related issues (including ransomware), risk management such as ensuring maintenance of the business continuity plan and collating information required for ISO 27001 audits.
• I have a critical role in the effective design, development, implementation and maintenance of the firmwide Enterprise Risk Management Framework and corporate governance by identifying the risks a company faces including financial risk (I ensure efficient management of financial operations and controls), legal risk (I ensure compliance with laws, regulations and our SRA obligations), operational risks (I ensure the firm's internal processes and day-to-day activities are adequate to prevent the loss, supply chain disruptions and technology failures), reputational risk (I create processes and respond to queries relating to company reputation and image), and strategic risk (I assist the firm entering new markets by devising a strategy to approach the risks). I also measure risk exposure by considering the effect of that risk on the company, I mitigate risk by conducting due diligence and insurance usage and report and monitor risk exposures.
• I assist in the implementation and maintenance of accreditations such as Lexcel and CQS (Conveyancing Quality Scheme).
• I monitor the Legal and Regulatory Risk inbox, directly respond to simple and complex queries and advise Partners and employees in relation to risk management and assurance in a timely manner.
• I create, review and maintain the firm's Risk and Compliance policies, procedures and guidance notes in line with local and international regulations. This includes the Anti-Modern Slavery and Human Trafficking policy and guidance note, in relation to firm contracts and the Procurement team's operations. GDPR, Anti-Tax Evasion in relation to DAC 6, Anti-Bribery and Corruption, Market Abuse and Insider Lists related policies and guidance notes. Also, the Complaints Handling procedure and guidance note, are in line with the SRA code of conduct.
• I manage and conduct Risk and Compliance training for all Partners, employees and new joiners including those based in international offices in relation to Anti-Money laundering in accordance with the Legal Sector Affinity Group, Anti-Bribery and Corruption, Fraud, Modern Slavery, SRA Compliance, Tax Evasion, Whistleblowing, GDPR, and DAC 6. I ensure all staff are set up and assist the Head of Legal and Regulatory Risk with non-compliance.
• I take minutes at the Risk Committee and Anti-Money Laundering meetings and follow up on actions identified from the meetings. 
• I support the firm's GDPR and Privacy compliance by leading data subject access requests, data deletion requests, and matters which affect the company’s operations.
• I maintain the firm's Breaches Register, Risk Register, Gifts and Hospitalities Register, and Record of Processing Activities. I regularly review the risks identified and work with the team to address and mitigate the most prominent risks. 
• I update and maintain the Legal and Regulatory Risk department's intranet page.
• I ensure the firm's compliance with our SRA obligations by managing the Transparency Rules updates, working closely with a senior Risk Lawyer to collate information and write the Modern Slavery statement, working closely with Business Development, Human Resources, and a senior Risk Lawyer to complete the annual declarations and bulk renewal of practising certificates.
• I support the firm’s ESG initiative by monitoring the company’s ESG risk exposure to increase our sustainability ratings on EcoVardis, a platform which helps to manage ESG risk and compliance. 
• I keep up to date with new developments and changes in local and international law and within our regulatory requirements by regularly attending seminars and updates from the Law Society, Financial Times, The Lawyer, Practical Law, Westlaw, Lexis and the SRA website. I collate all information, conduct research and share important updates with the team.
• I benchmark and then work alongside our Risk Advisor to update the firm's Standard Terms of Business and Engagement letters for each jurisdiction.
• I assist the General Counsel in the preparation and filing of corporate documents including notifying Companies House of Director terminations and appointments. I maintain and update company records and registers. 
• I accurately review supplier agreements, NDAs, outside counsel terms and other terms or contracts, also using AI tool Kira Systems. 

Legal & Compliance Associate | Financial Services Company | 2021 - 2023

• I directly reported to and supported the General Counsel who managed the Legal and Compliance team. I also supported 4 Lawyers.
• I monitored the in-house legal inbox by assisting in financial services-related transactional matters, managing the signing process (arranging and attending notary appointments, wet ink signings, and DocuSign signings), and reviewing, drafting and populating documents such NDAs, joiners and land registry title deeds.
• I conducted opening and closing project procedures by attending initial contract meetings with outside counsel to establish the terms of a contract, and final meetings to collect feedback on our processes. I would write a report and share it with my team.
• I was the point of contact to liaise with external counsel to ensure contractual requirements were met for timely completion.
• I created, reviewed, updated and monitored company policies, procedures, internal process management logs and databases such as the Signings checklist, policy and guidance note, the company records policy and form, and I set up and maintained our DocuSign contract.
• I assisted the General Counsel with company secretarial duties such as maintaining data warehousing records of all transactions and company records.
• I kept up to date with new developments and changes in the law and our regulatory obligations by regularly attending seminars, and events, and conducting research using Practical Law, Westlaw and Lexis. I would collate all information, conduct research and share important updates with the team.
• I maintained adherence to KYC and Anti-Money Laundering by ensuring the appropriate checks, verifications, and risk assessments have been completed and reviewed.
• I liaised with local and international clients and external counsel in a timely manner.
• I was a member and minute taker for the firm's DEI (diversity, equity, and inclusion) group. I organised events and initiatives to celebrate diverse values and individual differences that make up a company’s culture.

Education

Law LLB | 2:1 | 2018 - 2021