Reporting into the Senior Partner and Compliance Lead, the purpose of the role is to provide support to the firm’s Compliance Officer for Legal Practice (COLP) and to ensure that the SRA Code of Conduct is complied with at all times and that practices across the firm are consistent. 

They are looking for candidates who have strong compliance experience ideally within a legal setting, although all professional services sectors will be considered i.e., accountancy firms, financial services, insurance or any other industry that is regulated and has strict compliance processors. procedures in place.  

Key duties and responsibilities will include;

• Working with the firm’s COLP and other individuals holding risk management positions within the firm, promote a culture of regulatory compliance within the firm.

• Keep abreast of any regulatory or other changes that may affect the firm, making COLP, COFA and other individuals aware where necessary.

• Liaise with various teams in the firm including Complaints, AML officer, Anti-Bribery, Data Protection, PII and any other individuals holding risk management positions within the firm, to ensure appropriate sharing of information and consistency of approach across the firm to risk and compliance.

• Risks facing the firm and Risk Register - Maintain a Risk Register and discuss with Risk and Compliance Steering Group on a bimonthly basis. 

• Keep updated with the latest IT and cyber threats facing the firm and discuss with the IT Manager and Risk and Compliance Steering Group.

• Prepare and maintain a compliance plan which will be overseen by the COLP.

• Ensure that compliance policies and procedures are followed and establish best practice policies and processes in all areas of compliance and where necessary, including amending existing compliance policies and processes.

• Devise and implement new compliance policies and processes for consideration by the Risk and Compliance Steering Group 

• Compliance breach reporting- Maintain an internal compliance breach reporting process, to include anonymous reporting of compliance failures. Ensure the firm’s compliance breaches register is made available to the SRA on request via the firm’s COLP.

• Manage the Firm’s requirements to ensure continued accreditation i.e., Residential Conveyancing Quality Scheme, Private Client Quality Scheme etc

• General Data Protection- Assist the firm’s Data Protection Officer and GDPR committee to ensure the firm is fully compliant.

• Co-ordinate the regular updating of the office manual working under the direction of the Firm’s COLP who will sign off changes before publication.

For this role candidates will need to have proven Compliance experience at this level within a similar professional environment and be confident working in a busy and fast paced role.

Candidates will need to have excellent interpersonal and communication skills, be proactive, able to use their initiative, hold a can-do attitude and be able to meet deadlines.

This is a great role and will be working with the senior partner, so hard work and commitment will be recognised.

The firm offers hybrid working, so can be a mix of home and office working. Great benefits are offered along with a competitive salary, including 23 days holiday plus stats (rising with service), bonus scheme, private medical insurance, employee assistance programme, life assurance and other great benefits.

Immediate need - for more information please apply on-line and a consultant from Cameron James will be in touch ASAP.