Compliance Manager - Legal Sector
Are you an experienced compliance professional looking for your next challenge within the legal sector? Our client, a well-established law firm, is seeking a Compliance Manager to oversee and enhance their regulatory framework across multiple offices.
Key Responsibilities:
1. Develop and implement standardized compliance procedures to ensure regulatory adherence across all offices.
2. Ensure full compliance with Anti-Money Laundering (AML) regulations and other legal obligations.
3. Conduct and oversee regular file reviews, ensuring quality, accuracy, and compliance of client matters.
4. Provide comprehensive compliance reports and updates to senior management, highlighting any areas of concern.
5. Manage escalated complaints with the Solicitors Regulation Authority (SRA) and Legal Ombudsman, acting as the firm's Liaison Officer during SRA inspections.
6. Advise fee earners on professional conduct matters, including conflicts of interest and ethical considerations.
7. Deliver training sessions on risk and compliance topics while staying up to date with evolving regulations.
8. Conduct internal compliance audits and contribute to the development of risk management strategies.
9. Ensure client communications, including website content and correspondence, align with Law Society and SRA requirements.
10. Monitor adherence to the Solicitors Code of Conduct and support due diligence in mergers and acquisitions.
About You:
To be successful in this role, you will have:
1. At least 2+ years of experience in a compliance management role, with a minimum of 1 year within a law firm.
2. Strong understanding of regulatory requirements, including those set by the SRA, Information Commissioner's Office (ICO), and National Crime Agency (NCA).
3. Excellent communication and interpersonal skills, with the ability to provide clear guidance on compliance matters.
4. A detail-oriented mindset with experience in working to tight deadlines and ensuring high levels of accuracy.
5. A confident telephone manner and the ability to build strong professional relationships.
Rewards & Benefits:
1. Christmas shutdown.
2. Employee referral bonus.
3. Pension scheme.
4. Health cash plan to support workplace wellbeing.
Contact Rachel Phillips, Associate Director in confidence on #removed#.
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