Risk & Compliance Manager
Desired work region:West Midlands
Sector:-
Ref:9735
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Meet Our Recruiter
Emma Edwards
Senior Recruitment Consultant
About Profile
This candidate worked at a Regulatory Body after they finished their degree, as they were passionate about gaining legal experience and felt working for a Regulatory Body would help achieve this. The candidate enjoyed this role but didn't find it to be challenging enough, and so left as they felt they could gain further progression elsewhere. They then accepted an FTC at a different Regulatory Body, which was later extended. This candidate then gained further exposure in Risk & Compliance through managing risk for the firm. This gave them exposure to complaints, conflicts of interest, sanctions, and any general regulatory issues that would crop up.
From there, this candidate was keen to gain further compliance experience from a law firm, and joined a National firm as their Complaints Manager. They have very much enjoyed this role, but aren't sure it's the right fit long-term, and they are thus exploring other opportunities.
They are based in Birmingham.
Experience
Complaints Manager | National Law Firm | 2023 - Present
- In-depth knowledge of Money Laundering Regulations, LSAG and SRA regulations etc.
- In-person Risk and Compliance file review feedback
- Updating the Suspicious Activity Report process
- Full compliance Risk Assessment for Building Society client
- New Disability and Reasonable Adjustment Policy (Collaboration with HR)
- New Data Classification Policy (Collaboration with IT)
- Summer ‘Risk Policy’ overhaul
- Solo project focusing on a full overhaul of the Firm Wide Risk Assessment
- Responsible for escalated Legal Ombudsman complaints and selection of appropriate redress if required
- Knowledge of all areas of practice in order to resolve complaints
Regulatory Support (FTC) | Regulatory Body | 2022 - 2023
- Triaging complex complaints and analysing whether the investigation threshold has been met
- Dealing with escalated complaints regarding my initial decisions.
- Providing further feedback and details to the individual.
- Resolving dissatisfaction with decisions/actions
- Identifying and managing risk.
- Subsequently escalating issues of noncompliance
- Regularly fostering relationships with members/the public via email and phone
- Effectively switching profession areas and learning new topics correctly. (Insurance, Valuations, Part Wall, EWS1 etc.)
- Consistent database and CRM system work
- Solo project on new internal de-registration guidance
- UAT testing of the website
Advisor Regulatory Body 2020 - 2022
- Experience in dealing with challenging solicitors and vulnerable members of the public
- High customer service feedback during high traffic periods (Practising Certificate Renewal and Remediation)- 95% Satisfaction
- Management of incident cases (from inception to resolution)
- Responding to complex individual and organisational setups
- Decision-making on investigation progress and entity structures
- Responsible for new process updates and numerous improvements (New logs, Incident team responsibility Rota, and internal advice process)
- Leader of Incident Team in the absence of Operations Manager
- Leader of the team statistic collating, logging and reviewing
- Training and mentoring of new Incident Team members
- Providing feedback to colleagues/department via Teams and e-mail.
- Constructively improving processes and developing individual skills.
- Designing test scenarios and outlining requirements
Education
Global Cooperation and Security MSc | 2018 - 2019
- STEM degree focusing on data on international relations
- Qualitative/Quantitative data reviewing
- Practical modules involving face-to-face diplomacy and conflict intervention
- Including the study of policy creation/review, regional and international security, and the fundamentals/ethics of terrorism
Law LLB | University
- Considerable networking through Mooting, Client Interviewing, public speaking and local events
- Analytical skills which were built on in this degree can be transferred across to this discipline
- Consistent research and data reviewing (cases, journals, statutes, and misc. instruments)
- Negotiation and influencing through Mediation/Client Interviewing/Arbitration
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