Legal Compliance Manager

My client a City law firm are seeking a Compliance Manager to join them on a permanent basis. The successful person will ideally be a Lawyer or will have relevant experience from a law firm.

The role will require the successful Compliance Manager to ensure the firm is compliant with:

- SRA Handbook;

- Anti-Money Laundering Regulations;

- Data Protection;

- Risk Management;

You will also be responsible for:

- Reviewing the firm’s Risk Register annually with the rest of the Compliance team,

- Advising employees and Partners within the firm on corporate governance best practice, regulatory and

compliance issues as necessary,

- Providing detailed advice and guidance,

- Assisting in developing, initiating, maintaining and revising policies and procedures within the Compliance

section of the intranet,

- Reviewing processes and systems to ensure that appropriate measures are in place for compliance with

all relevant legislation and other legal requirements firm wide,

- Ensuring that any regulatory issues brought to light via the monitoring processes are escalated to the

appropriate business area,

- Keeping abreast of changes in regulatory and compliance requirements and considering the impact of any

such changes on the firm’s Compliance Plan,

- Assisting the LEXCEL Partner in co-ordinating the annual LEXCEL audit and communicating any action

points to relevant managers within the firm,

- Assisting the LEXCEL, Partner and Head of HR in ensuring the Staff Manual, Risk Management Manual

and other internal compliance documents and policies are kept up to date,

- Assisting with the firm’s existing accreditation and audits,

- Providing advice on conflicts and complaints,

- Providing input into strategic planning on large, complex and high risk cases,

- Providing ongoing regulatory advice to all internal stakeholders as required;

,

The Person:

- Qualified lawyer or other person with substantial relevant experience in a firm of solicitors’,

- Strong academic background, ideally gaining a 2:1 at degree level,

- Post graduate qualifications in Compliance, Money Laundering, Financial Crime Prevention would be

helpful but are not essential,

- Experience of preparing recommendations and reports for senior management would be ideal but is not

Essential,

- Demonstrable overall knowledge of the SRA’s Principles and Code of Conduct and Handbook, along

with the wider compliance responsibilities of Law Firms,

- Prepared to take a broad view on where Compliance falls and takes responsibility as will be involved a

number of areas which are not traditionally viewed as falling within compliance per se,

- Strong analytical, drafting and research skills,

- Ability to prioritise workload to increase efficiency,

- Commercially aware, proactive and able to convey clear and concise information to all internal

stakeholders at all levels and to external organisations, which will not compromise the practice or the

firm,

- A high attention to detail to produce work / documentation which is consistently of a high standard,

- To have a flexible approach to work to ensure deadlines are always met and internal stakeholders are

communicated with on a consistent and regular basis,

- Able to work on own initiative and with minimal supervision,

-Understanding and experience of working in a collaborative and consultative environment whilst

maintaining a robust approach to compliance standards,

-To be familiar with Word, Outlook and Internet applications.

At LAW Absolute we endeavour to respond to all applications within 48 hours. However due to the volume of applications we receive we may not be able to respond to every candidate individually.

If you have not heard from us within a 48 hour timeframe your application has not been successful and your details have not been retained. LAW Absolute acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.