Spire Solicitors LLP

Compliance

• Provide day to day support to the Head of Compliance and the Compliance Officer
• Providing support to other senior members of the senior leadership team if needed
• Assisting with keeping Compliance team records accurate and up to date to comply with regulatory requirements
• Assisting with maintaining the firm’s records on public registers e.g., SRA, Law Society, Data Protection etc.
• Reviewing, updating, and maintaining Compliance team user manuals and policies
• Assisting with preparation and conduct of regulatory Audits such as Lexcel, ISO9001
• Assisting Legal Departments with compliance information for renewal of panel memberships and accreditations
• Maintain the internal Complaints and Data Protection Registers
• First point of contact for any Data Breaches
• Locking and unlocking files
• Assisting with conflict checks and complaint chronologies
• Assisting with the annual PII renewal, Practicing certificate bulk renewal, AML data collection and Bi-annual SRA Diversity data collection
• Overseeing the use of Access Computer Based Training system
• Running monitoring reports
• Issuing lists for File reviews, corrective actions and running monitoring reports
• Checking and reviewing outstanding client onboardings (ID checks)
• Overseeing the CQS process

Compliance Administration Assistant