Compliance and Support Services Administrator

The Position

This position is an important role in ensuring that the company complies with all relevant laws, regulations, and internal policies. The role involves supporting the Director in charge of compliance with compliance initiatives, monitoring adherence to industry standards, and maintaining up-to-date knowledge of regulatory requirements.

In addition, this role supports the relevant Director to deliver efficient and effective support services to our fee earners and clients and to enhance the overall operational performance.  Working collaboratively with internal stakeholders you will be responsible for ensuring the timely deliverance of services.

Compliance Responsibilities:

1. Regulatory Compliance Monitoring:

• Ensure the company complies with industry requirements, in areas such as Know Your Client (KYC), Client Onboarding, Company Secretarial, Money Laundering and GDPR.
• Maintain an understanding of changing laws and regulations and their impact on the company.
• Assist in the preparation and submission of reports required by regulatory authorities.

2. Policy Development & Review:

• Help develop and update company policies and procedures to ensure compliance with applicable laws.
• Monitor the implementation and effectiveness of these policies across various departments.

3. Internal Audits:

• Conduct or assist with internal audits to evaluate adherence to compliance policies.
• Identify areas of non-compliance and assist in the development of corrective action plans.

4. Training & Awareness:

• Assist in training employees on compliance-related topics and promote a culture of ethical business practices.
• Help coordinate regular compliance awareness sessions across the organisation.

5. Record-Keeping & Reporting:

• Maintain accurate records of compliance activities, training, and audits.
• Assist in preparing reports for management and regulatory bodies.
• Ensure that all documentation is easily accessible and up-to-date.

6. Risk Management:

• Assist in identifying, assessing, and mitigating potential compliance risks.
• Support the development of risk management strategies to address identified risks.

7. Compliance Investigations:

• Help investigate and resolve compliance-related concerns or incidents.
• Document findings and assist in implementing corrective measures.

Support Services Responsibilities:

• To support the team to complete and submit requests and returns for all clients within our Client Manager’s portfolio by internal and external deadlines.
• Ensure all requests are performed in a timely and professional manner, and internal and external deadlines are met.
• When appropriate set out a job plan to complete these assignments with a view to making the task as straight forward and efficient as possible.
• Alongside the team, liaise with fee earners to continually improve and streamline job requirements. Communicate collaboratively where change is needed and has been implemented.
• To oversee and provide admin support to the wider business, including all outgoing correspondence, by email, letter or OpenSpace.
• At all times ensure overflow phone calls are answered and responded to promptly and professionally.
• Support the team when needed to allocate resources effectively to meet departmental goals.
• Support the broader Support Services Team as required, including covering reception, greeting clients and the provision of refreshments as required.
• Undertake and take part in of business development events and to represent Dunkley’s Accountants when required.
• Undertake any other duties commensurate with this level of position as requested by the Directors of the company or anyone to whom this responsibility is delegated to by the Directors.

Qualifications and Skills

• Be educated to A ‘level standard or equivalent as a minimum.
• Have a demonstrable understanding of industry regulations and standards.
• Have excellent attention to detail and organisational skills.
• Strong communication skills, both written and verbal.
• Have a minimum of 2+ years of experience in compliance, regulatory affairs, or a similar role.
• Have a thorough working knowledge of all Microsoft packages and ideally, although not essential have experience of working within a case management system.
• Be resilient and have demonstrable ability to work under pressure and to deadlines.
• Be able to form good professional collaborative relationships with clients and colleagues, creating foster a supportive, nurturing and learning environment.

Dunkley’s is committed to providing a supportive and collaborative work environment where employees can thrive and grow professionally.