Location
Birmingham or London
Hybrid Working
The Division
The Governance and Risk (G&R) team is responsible for the development and maintenance of effective risk management and compliance standards at Capsticks. We work closely with both legal and business service divisions through heads of division, directors of service and compliance champions across the firm’s five offices to manage quality, embed risk management, compliance and continuous improvement to aid delivery of an excellent client experience.
The Role and Responsibilites
This is a hands-on entry level role as a member of the busy Governance and Risk (G&R) department who are responsible for the development and maintenance of effective risk management and compliance standards at Capsticks.
The G&R team operates across a number of sub-teams which work closely together:
- Central Risk Team – which this role sits in, deals with a wide range of compliance queries on a daily basis as well as managing our information security management. Other areas of focus include AML compliance, conflicts management, Data protections and DSAR Compliance, ISO27001 management.
- Complaints and Claims Team – deals with claims and circumstances, client complaints and related improvements.
- Audit Team – manages our ISO 9001 accreditation, including policy review lifecycle, internal file & process audits and leading our external 9001 audits.
- Commercial and Procurement Team – manages client and supplier contracts and procurement lifecycle.
The primary focus of this role will be assisting the department across all the sub-teams, giving wide exposure and experience across all areas of risk management and compliance. The role will also assist with data collection and management, recording incidents and queries on spreadsheets, analysing data to produce statistics and trends reports and papers for Committees. The Coordinator will be supported and encouraged to develop within the role to assist in dealing with routine risk and compliance questions and taking ownership of key divisional processes.
On the job training will be given by the G&R team to enable skills to be obtained whilst carrying out tasks.
G&R engage with both the firm’s legal and business service divisions, across our six offices, to promote the benefits of good risk management, drive continuous improvement to enhance the client experience and ensure compliance with our legal and regulatory obligations.
The coordinator will report to the Governance and Risk Team Leader, but will have regular interactions and support from the Head of Governance and Risk.
Main duties and Responsibilities
- Data management: logging, tracking and monitoring queries received, ensuring they are resolved in a timely manner and assisting in managing information within the division and presenting it in an easily understandable way;
- Information barriers and conflicts of interest: taking day to day responsibility for setting up and managing information barriers within the case management system and handling ad hoc file access requests;
- Compliance queries: assisting the teams with research and draft responses to routine compliance queries, with supervision, on a range of topics such as SRA compliance, conflicts, anti-money laundering, information security incidents, data breaches, and third party complaints;
- Training: taking day to day responsibility for managing the compliance training platform and monitor completion of compulsory online training;
- Committee papers: assisting with preparing reports and papers for various Committees;
- Raising the profile of G&R: supporting the department’s work with compliance champions by preparing information for division meetings on governance and risk issues and participating in meetings;
- GDPR compliance: assisting with subject access and data deletion requests;
- Audits: assisting with the organisation of external audits, taking part in these as needed, and assisting with internal audits (training will be given) for the firm’s accreditations and monitoring the completion of corrective actions;
- Policies: assisting with the policy review cycle, including assisting drafting new policies and updating current policies and procedures;
- Internal communications: assisting to create and circulate intern compliance alerts and updates; and
- Ad hoc projects: assisting with firmwide projects that require Governance & Risk input
Candidate requirements:
- Excellent attention to detail;
- Preferably educated to degree standard;
- Previous work experience in a law firm or professional services firm desirable;
- The ability to work calmly under pressure, manage deadlines and manage the expectations of internal clients;
- A self-motivated proactive approach and the ability to manage your own workload
- Demonstrable experience of working in a team (whether in a work place or in your education);
- Problem solving skills;
- Excellent organisationalskills;
- A willingness to share ideas and suggest improvements;
- A willingness to learn about new subject areas and new skills;
- Be able to tailor communications to different audiences;
- Advanced skills in Microsoft Excel (including use of formulae and pivot tables) and data manipulation;
- A willingness to travel to other offices as needed.
Capsticks is an inclusive employer
At Capsticks we value diversity and we are committed to creating an inclusive and supportive working environment where everyone is able to be themselves and reach their full potential. Capsticks is committed to providing equal opportunities for all and therefore we welcome the unique contributions that you can bring in terms of your education, background, culture, ethnicity, race, nationality, sex, sexual orientation, gender identity, age, disability, neurodiversity, religion and beliefs.
We will make reasonable adjustments to our application and interview process to ensure that you have the best chance of success. We understand that there’s not a “one size fits all” approach to adjustments so our team will work with you individually to understand more about your requirements.
#J-18808-Ljbffr…