Compliance Monitoring Assistant
c£34kpa + Benefits

Our client is an offshore Law Firm that is growing and looking to expand its Compliance Team. The principal purpose of this role is to undertake compliance monitoring in accordance with the task driven schedule outlined in the Compliance Monitoring Programme.

We are looking for someone with experience:

  • Undertake compliance monitoring across the firm adhering to the timetable outlined in the Compliance Monitoring Programme

  • Undertake compliance monitoring to ensure alignment with regulatory and law society requirements

  • To carry out ad hoc monitoring when required

  • Determine compliance with internal policy and procedures

  • Ensure that compliance monitoring testing is completed in a timely manner

  • Accurately record all findings in the Compliance Monitoring Action Log

  • Escalate material findings and trends to the Compliance Monitoring Manager

  • Understanding when a finding constitutes a regulatory breach and the subsequent logging of the breach on the Breaches Register

  • Track remediation of the findings that have been identified

  • Managing the closure of monitoring findings and recommendations

  • Following compliance monitoring, make recommendations for actions required to remediate findings

  • Communicate findings in a clear and concise manner ensuring an understanding of the requirements to remediate

  • Identification of themes and areas for improvement

  • To assist in the provision of compliance monitoring themed reviews and in the preparation of reports which will include recommendations for addressing identified areas of weakness

  • Provision of guidance, advice and support to the wider business

  • Maintain and enhance the working relationship between the wider Risk & Compliance Team and the business areas through regular and effective communication

  • Assist with the preparation of Management Information for escalation to the appropriate forums

  • Keep abreast of industry and regulatory change, recommending enhancements to the compliance monitoring programme

  • Support the Compliance Monitoring Manager in delivering the compliance monitoring programme

  • Make constructive proposals to improve the effectiveness of the Compliance Monitoring Programme review process

  • Supporting the Compliance Monitoring Manager in developing and maintaining compliance monitoring programme

  • Assist the Compliance Monitoring Manager with the preparation and delivery of the annual compliance monitoring plan

  • Encourage a positive, compliance culture throughout the business


  •  Experience within a compliance monitoring/audit/Risk & Compliance role

The role is 3 Days per week in their new (Monday, Friday plus one of the remaining days) central Southampton Offices close to restaurants, bars, leisure facilities, trains, car parking and airport.

  • It is a 35hr week with flexible working and a great opportunity to be one of the first professionals in their new UK Office. There will also be an opportunity to visit their other offshore offices around the world.

  • 25 days’ holiday entitlement with the ability to buy / sell 5 days per financial year

  • A discretionary bonus scheme based on company and individual performance

  • Medical cover for the employee. There is an option to add family members at candidates own cost

  • Life assurance – x4 of salary

  • Permanent health insurance

  • Pension scheme 5% Employee / 3% Employer

  • Travel loan scheme – travel loan for a train season ticket, repayable via monthly payroll, which helps to offset the initial cost of the ticket