Governance & Risk Coordinator

Birmingham or London

The Governance and Risk (G&R) team is responsible for the development and maintenance of effective risk management and compliance standards  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.

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, ISO
  27001 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.

• 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…