Risk and Compliance Officer
Leeds
Optima Legal Services Ltd – Legal Services /
Permanent /
Hybrid
Hi, we’re Optima Legal, part of the PEXA Group.
We know you’ll Google us before applying, so let’s keep this brief. At Optima Legal, we are a specialist property law firm, with an Alternative Business Structure (ABS) status. We are proud to be a conveyancer of choice for 8 out of 10 major banks and lenders in the UK and have more than 300 UK-based employees who deal with thousands of conveyancing transactions between them every day. The team is led by a group of experienced, specialist solicitors who are equipped to handle the most complex of remortgage transactions.
Why join Optima Legal?
Great question! We pride ourselves on attracting, developing and retaining a diverse range of people in an equally diverse range of roles and specialisms – who together achieve outstanding results. Our transparent approach and open-door policy make Optima Legal a great place to work and as our business expands, we are looking for ambitious, talented people to join us.
The purpose of the role is to support the Senior Compliance Manager in providing assurance to the business that risk is effectively managed; that improvements and emerging risks are identified and the correct actions to remedy are taken. You will spend your day dealing with enquiries, investigating errors and pulling out and sharing any learnings, as well as conducting some monitoring of key controls within the business and maintaining those controls owned by the Professional Standards team. There will also be ad hoc projects which will involve undertaking ‘Root Cause’ analysis, preparing and presenting briefings, sharing outputs and proposing actions to address any gaps identified.
Key Accountabilities
- Ensure that the Compliance inbox is effectively managed and kept up to date
- Ensure that reported breaches are accurately logged, that the breach log is maintained and that any associated actions are tracked and delivered
- Completion of agreed monitoring activities and escalation of gaps/training needs
- Reporting on KRI’s as needed to the business
- Management of DSARs in line with regulatory requirements
- Proactively identify learning needs, emerging risks and improvements and propose actions to address any matters identified at all times
- Assistance as required with policy updates, internal/external audits, horizon scanning, risk assessments, membership renewals and ad-hoc projects
Skills and Experience
- 2 years+ experience in the area of risk and compliance, preferably in a law firm environment but not essential
- Basic understanding of key regulation (e.g. AML, sanctions, GDPR)
- Working knowledge of iCAS (desirable but not essential)
- Working knowledge of Microsoft Office packages including Excel and Power Point
- Confident with the ability to communicate effectively with team members and other stakeholders
- Ability to analyse data, identify themes and propose actions to mitigate risk
- Ability to prioritise work and use initiative to identify and remedy emerging risk and influence change to controls and process
- Ability to produce reports and presentations to deliver insights to stakeholders at all levels
- Degree or equivalent desirable but not essential.
£27,000 - £29,000 a year
Sounds like you?
We at Optima Legal are ready so if this role sounds like you apply today.
GDPR Compliance
Digital Completion UK Limited (trading name “PEXA”), Optima Legal Services Limited (trading name "Optima Legal") and Smoove Limited (a holding company which comprises of the following wholly owned trading Subsidiary companies: United Legal Services Limited, United Home Services Limited, Legal-Eye Limited, and Amity Law Limited) are all owned directly by DigCom UK Holdings Limited, which is a wholly owned Subsidiary of PEXA Group Limited in Australia (ACN 140 677 792; ASX: PXA) (referred to collectively as “PEXA Group”).
When we process your applicant personal data for recruitment purposes, we do so as a controller. If as part of the recruitment process, we share your personal data with another company within the PEXA Group, that company may process your personal data as either an independent controller or, in certain circumstances, a joint controller. By applying for this role, you consent to us processing your personal data in accordance with the UK General Data Protection Regulation ("UK GDPR") and the Data Protection Act 2018, and further information can be found in our privacy notice https://pexa.co.uk/applicant-policy/.
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