We are recruiting for an established Compliance Manager with some travel to other offices across Bristol as required.
You will support the Compliance team, Head of Department, and Board on strategic and critical regulatory and compliance matters, monitor risk trends and compliance developments, and ensure the firm complies with all SRA, Lexcel, and general regulatory obligations.
The team comprises the Head of Compliance, a Consultant and an Assistant. They support the business with day-to-day queries in areas including anti-money laundering, conflicts, data protection, complaints and regulatory standards. The team is an integral and respected part of the firm, and key to protecting it from risk.
The successful candidate will report directly to the Head of Compliance.
The role
You will support the Head of Compliance with duties to include:
1. Staying updated on relevant regulations and internal policies.
2. Ensuring compliance with the SRA Standards and Regulations.
3. Overall responsibility for ensuring the completion of file audits in accordance with procedures.
4. Ensuring the firm’s ongoing compliance with the Lexcel standard.
5. Monitoring complaints and providing support on final responses when required.
6. Supporting the COLP in submitting complaints data to the SRA.
7. Monitoring negligence claims and supporting the COLP in liaising with insurers.
8. Providin...