Compliance Officer




Anita Dale




Human Resources


22 days holiday, company-wide performance bonus, flexible working, holiday buy/sell, healthcare cash back, annual pay review, onsite café

Start Date

An experienced Compliance Officer is sought by an award-winning law firm to join their team in Leamington Spa. This award-winning firm has been providing advice to their business and individual clients for nearly two centuries across a diverse range of sectors.

The Role:

As Compliance Officer you will support the implementation and maintenance of the firm’s risk management policy ensuring the firm is compliant with the SRA, FCA, anti-money laundering (AML) regulations, Data Protection legislation and other regulatory requirements. Your day to day duties will include:

  • Conducting internal audits to provide assurance to the Approved Persons that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies
  • Ensuring that Quality Assurance checks and controls are effective, and that any weaknesses are reported, identified and addressed
  • Review of policies and procedures and training to ensure they are up to date and compliant with regulatory requirements
  • Respond to queries raised by the FCA and completing applications for approved persons;
  • Delivering and providing training firm wide
  • Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance 
  • Assisting the Head of Risk and Compliance to maintain the firm’s risk register and devise and implement a firm wide risk based monitoring plan in line with the firm’s risk register
  • Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports
  • Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting
  • Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause
  • Respond to requests for information under the Data Protection Act and requests to delete information
  • Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm’s data base
  • Updating training material to ensure it is compliant with legislation and working with the compliance team to deliver training in a way which minimises time away from work
  • Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits
  • Periodic reviews of all standard contact methods, including letter, email and SMS sent

Person Specification:

  • Previous experience of working within compliance at a law firm is essential
  • Used to working in a busy and fast paced environment

Benefits package:        

  • £25,000 salary depending on experience
  • 22 days holiday increasing with length of service
  • Contributory pension scheme: 3% employee and 5% employer with the ability to make additional voluntary pension contributions
  • Firm wide performance bonus scheme
  • Enhanced maternity / paternity leave
  • Holiday buy/sell scheme
  • Flexible working
  • One months’ Firm sick pay
  • Healthcare cash back scheme allowing you to claim money back for various medical and therapy treatment costs. The benefit also provides access to: free MRI/CT scans, personal accident cover, a 24 hour confidential counselling advice line for you and your immediate family, doctor help line for general advice and second opinions for you and your immediate family, health club concessions
  • Rewards portal to access offers and savings from over 450 retailers
  • Annual salary review
  • Training and development
  • Free onsite car parking
  • Onsite staff café
  • Various social events throughout the year

Compliance Officer / Auditor

Leamington Spa, Warwickshire – commutable from Warwick, Coventry, Redditch, Stratford, Rugby, Birmingham, Solihull, Banbury

£25,000 depending on experience + benefits


Leamington Spa




United Kingdom


21000 - 30000

Job Type:



Full Time

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