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:
* Develop and implement standardized compliance procedures to ensure regulatory adherence across all offices.
* Ensure full compliance with Anti-Money Laundering (AML) regulations and other legal obligations.
* Conduct and oversee regular file reviews, ensuring quality, accuracy, and compliance of client matters.
* Provide comprehensive compliance reports and updates to senior management, highlighting any areas of concern.
* Manage escalated complaints with the Solicitors Regulation Authority (SRA) and Legal Ombudsman, acting as the firm's Liaison Officer during SRA inspections.
* Advise fee earners on professional conduct matters, including conflicts of interest and ethical considerations.
* Deliver training sessions on risk and compliance topics while staying up to date with evolving regulations.
* Conduct internal compliance audits and contribute to the development of risk management strategies.
* Ensure client communications, including website content and correspondence, align with Law Society and SRA requirements.
* 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:
* At least 2+ years of experience in a compliance management role, with a minimum of 1 year within a law firm.
* Strong understanding of regulatory requirements, including those set by the SRA, Information Commissioner's Office (ICO), and National Crime Agency (NCA).
* Excellent communication and interpersonal skills, with the ability to provide clear guidance on compliance matters.
* A detail-oriented mindset with experience in working to tight deadlines and ensuring high levels of accuracy.
* A confident telephone manner and the ability to build strong professional relationships.
Rewards & Benefits:
* Christmas shutdown.
* Employee referral bonus.
* Pension scheme.
* Health cash plan to support workplace wellbeing.
Contact Rachel Phillips, Associate Director in confidence on 02920 388100 /