Administration, Risk & Compliance Assistant

Andy File Associates Limited is working as a Recruitment Agency on behalf of our client with regards this temporary to permanent position

Administration, Risk & Compliance Assistant – Rotherham

This role reports to the  Managing Partner/ and plays an important part in making sure the Practice sets and maintains consistently high standards of Client Care in line with both Lexcel and the ISO quality standards.

Main Purpose of the Job:

  • Work as part of the Practice Administration team, delivering supervision of Quality / Administration of the Practice’s procedures / systems
  • Delivery of user training to Fee Earners / Support Staff as delegated by the Manging Partner Deliver such tasks effectively and efficiently to the Practice’s Fee Earners and Support Staff
  • Deputise for the Practice’s IT with regard to Case Management programmes, ‘simple’ user’s errors and other problems within the remit of your own knowledge


  • Reporting
  • Monthly financial reports for the Managing Partner x 2
  • Monthly financial and matter management reports to the Probate Department x 2
  • Monthly matter management reports to the Property Department x 5
  • Monthly fee/time management reports to Property, Probate, Dispute Resolution and Family Departments – reports to individual fee earners
  • Fortnightly cross marketing report
  • Monthly file and ID destructions reports x 2
  • Supervision report packs, 6 monthly AML report, 6 monthly file audit reports and annual staff register of interest
  • File review
  • Monthly file reviews (between 20 – 32 file reviews per month)
  • Compilation of file review data
  • Audit of file review data
  • Central registers/records:

Maintenance of the following:

  • Agents, Counsel and Experts Register
  • Complaints record
  • Claims record
  • Staff Register of Interests
  • Bribery Act reporting register


  • Maintenance of the central undertakings register
  • 3 monthly undertakings audit


  • Set the agenda for the Risk & Compliance meeting
  • Set the agenda for the Quality Committee meeting – Chair (in the absence of the Quality Partner)
  • Record outcomes
  • Annual audit of outcomes


  • Prepare and manage applications for Professional Indemnity Insurance and Practicing Certificates

Quality marks:

  • Manage the administration of the Conveyancing Quality Scheme, ISO 9001 and Lexcel quality marks and apply for and prepare for assessments
  • Ensure compliance with the requirements of CQS, ISO 9001 and Lexcel standards
  • Liaise with the assessment network and external assessor
  • Manage issues arising from external assessments, communicating corrective actions as required
  • Manage and coordinate quality mark audits
  • Report findings, outcomes and recommendations

Plans, policies and procedures:

  • Draft, develop, implement, maintain and monitor plans, policies and procedures to ensure effective risk management
  • Regularly review the Practice’s risk management strategies and plans (including Risk Register and Business Continuity Plan)
  • Update plans, policies and procedures including forms
  • Bi-annual publication of the Practice Manual
  • Streamline procedures where possible
  • Monitoring the compliance plan

Risk management:

  • Monitor for and identify new areas of risk
  • Devise appropriate responses to risk
  • Provide timely and accurate management information to facilitate effective decision making/risk management
  • Review client care feedback and run monthly report

Compliance management – Monitor and ensure compliance with:

  • Law Society Practice Notes
  • SRA Warning Cards
  • Current SRA Handbook
  • Financial Sanctions notifications
  • Arrange Equality and Diversity monitoring

Mortgage panels:

  • New lender applications
  • Maintenance of application membership by ensuring compliance with lender requirements
  • Respond to lender queries


  • Assist the Complaints Partner with complaints management


  • Undertake inductions with new staff members – covering Practice structure, risk and compliance, IT, case management
  • Liaise with the MLRO and assist with organisation of annual AML training
  • Liaise with Risk & Compliance Committee regarding annual mandatory training

Anti-Money Laundering:

  • Check all obtained ID and arrange for scanning for central record
  • Ensure compliance with AML legislation and Practice policies
  • Ensure compliance with mortgage fraud procedures
  • Monitor AML and mortgage fraud compliance
  • Handle AML queries


  • First tier IT support for all staff members
  • Respond to all IT queries
  • Liaise with Cutler IT regarding IT management
  • Assess and report IT faults
  • Monitor cybercrime risks
  • On-site set up of new user profiles – macros, printers, dictation
  • Set up of new case management user profiles
  • Management and reporting of printer faults
  • Management of printer support contracts

Case management:

  • Linetime SE: Data Management Module and Practice management amendments

Client care:

  • Update Terms of Business and Client Care Letters as required

Human Resources:

  • Inductions with new staff members
  • Ensure continued awareness of practice policies including email reminders

Resource management

  • Maintain, Land Registry, Government Gateway and CJSM account memberships
  • Create new users

Knowledge, Skills and Experience

  • Substantive previous experience of legal processing / administration or some form of legal qualification or training, such as ILEX
  • Previous supervision experience desirable
  • Experience desirable in the delivery of basic training / tender preparation
  • Familiar with the operation of relevant IT facilities including Word, Excel and Outlook. Practice’s current Legal software
  • Demonstrate a willingness to develop the position and be adaptable to the needs of the Practice
  • Keep up to date with the Solicitors Conduct Rules / SRA Handbook / Law Society Practice notes

Personal Attributes

  • Presentable and reliable (smart/well groomed and on time)
  • Confident and assertive
  • Mature and receptive
  • Self motivated and results driven
  • Responsible and flexible
  • Professional and positive attitude
  • Demonstrate an ability to cope with changing levels of workloads
  • Professional and positive attitude
  • Maintain confidentiality

Planning and Organisational Attributes

  • Flexible and work to tight deadlines whilst maintaining the highest quality standards
  • Demonstrate organisational and time management skills
  • Makes a positive contribution to setting their own objectives
  • Demonstrate proactivity and attention to detail
  • Organise and prioritise work
  • Plan ahead for predictable periods i.e. Holidays

Communication Attributes

  • Polite, diplomatic, friendly and patient
  • Clear diction and have basic telephone skills.
  • Deals promptly and sensitively with difficult situations and people
  • Responds to constructive feedback from Managers or team members and takes action to address any behaviours causing a problem
  • Asks for support and guidance from the Administration Manager / Practice Manager, when necessary
  • Demonstrate a willingness to help and assist all members of the team, when they need help

Problem Solving and Creativity

  • Checks quality of work to avoid unnecessary mistakes
  • Demonstrate attention to detail
  • Examines cause of problems and suggest solutions on how they can be solved
  • Suggests improvements to standards and working practices
  • Accepts and implements changes to new ideas and working practices



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Tagged as: 'can do' attitude, Communicational Skills, Deadlines, professional