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Area Governance and Risk
Location London

The Firm

Capsticks is a leading provider of legal services to the health, social care, housing and emergency services sectors, as well as in the field of professional discipline. The firm has a turnover of c£47m and around 550 staff - including 400 fee earners - across 5 offices nationally. We act for a wide range of long standing clients in both the public and private sector, including all forms of NHS organisations, governmental and regulatory bodies, registered providers, insurers, police, fire and rescue services, independent health and social care providers, charities and GP practices.

Further details about the firm and the type of work carried out can be found on our website at www.capsticks.com.

The Role

This is a hands-on role as a member of the busy Governance and Risk team responsible for the development and maintenance of effective risk management and compliance standards at Capsticks. Assisting the G&R team to achieve compliance with the requirements of the SRA and the ICO, and to maintain the firm's accreditations: ISO9001 (quality assurance) and ISO27001 (information security). You will also be expected to engage with members of the firm across our 4 offices to assist in promoting an understanding of risk to drive compliance, continual improvement and improve the client experience. You will report to the Director of Governance & Risk work alongside with the Governance & Risk Manager to support the audit and policy functions of the team. The operational team consisting of the Senior Governance & Risk Analyst and a Governance & Risk Analyst manage the information security management system - ISO 27001, data protection, information barriers and information requests.

Main Duties and Responsibilities:

  • working with divisional heads and staff across the firm to ensure that effective and proportionate compliance controls are in place to ensure the firm can comply with its regulatory obligations and maintain its quality standards;
  • being the main contact for up to 4 divisions and recruiting G&R champions to support with embedding governance & risk in the divisions;
  • attending divisional meetings to report on Governance and Risk issues
  • undertaking internal process audits for the firm's ISO accreditations;
  • driving the corrective action process and liaising with divisional heads to implement improvements identified from the audit process;
  • reviewing and updating the firm's policies and procedures in conjunction with division heads and senior management to ensure Capsticks meets the requirements of its quality standards and regulatory requirements;
  • writing papers for the Governance & Risk Committee;
  • assisting with complex complaints, conflicts and claims - including liaising with the firm's insurer;
  • assisting with the firm's indemnity insurance and other insurance renewals;
  • horizon scanning and bogus firm checks;
  • handling individual queries on issues of professional conduct, regulatory issues and internal procedures (for example, maintaining confidentiality/new client AML checks/conflicts checks).

Other Duties and Responsibilities:

  • developing and delivering compliance training;
  • developing processes for improved file management;
  • creating and circulating compliance alerts and updates;
  • Researching queries;

Candidate Specification

The Governance & Risk Executive must have a strong background in law firm compliance that encompasses all areas of risk and compliance not solely AML and conflicts.

Candidates should ideally have/be:

  • Educated to degree standard or equivalent;
  • Experience of working in a law firm compliance role;
  • Previous experience of dealing with complex compliance issues in a law firm;
  • Previous experience of writing policy and procedure in a law firm;
  • Previous project management experience;
  • Previous experience of managing a quality management system within a law firm, preferably ISO9001;
  • Previous experience of handling professional conduct, AML and conflicts queries;
  • Previous experience of data protection
  • The ability to identify how effective risk management can improve the client experience;
  • The ability to work calmly under pressure, to juggle multiple deadlines and to manage the expectations of demanding internal clients;
  • Excellent IT / Microsoft Office skills (in particular Excel and Power Point) Excellent verbal and written communication skills;
  • The willingness to go the extra mile to deliver;
  • Commitment to meeting consistently high standards; and
  • Excellent attention to detail, grammar and proof reading skills.

Candidates will also be expected to demonstrate that they are:

  • Self-motivated and able to take the initiative and work without direct supervision but also be part of a team;
  • Proactive and innovative in their approach;
  • Able to communicate professionally at all levels within the firm;
  • Focused on the delivery of a first class service;
  • Willing to learn more about the health and social care sector and the services Capsticks provides;
  • Knowledge of the requirements of the SRA Handbook, SRA Code of Conduct, AML Regulations, General Data Protection Regulations, ISO 9001, and ISO 27001;
  • Aware of the role of the COLP and COFA in a law firm
  • A team player who is able to manage, motivate and work alongside others;
  • Able to be flexible and dependable;
  • Able to quickly build respect and trust; Able to adapt their working style to get the best out of others.
  • Willing to travel on occasion to our other offices

If you are interested in applying for this position please apply by sending your covering letter and CV via the vacancies section on our website at www.capsticks.com

Capsticks is an equal opportunities employer

Capsticks is committed to providing equal opportunities for all and to encouraging diversity through recruitment. Applications are welcome from all sections of the community and decisions to progress will be made with reference to entirely objective criteria only.

Capsticks is an agile firm and is open to conversations about flexible working.

In 2020 Capsticks achieved a 1 star accreditation from Best Companies, the specialists whose recognition programme is the standard for workplace engagement. The Best Companies accreditation is really important to Capsticks as it focuses on the trust and value we place in our people, their wellbeing and their careers.

Additional Documents
Job Specification
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