Law Firm Compliance Manager – Experience of working in a regulated environment within financial or professional services required
Market Rate | Newcastle
Our client, a leading regional law firm, is looking for a Compliance Manager. Reporting to the Compliance Officer for Legal Practice (COLP), your duties will include;
· Review and define a risk and compliance framework for the firm including best practice guidance
· Perform risk assessments to understand the level, significance and scope of risk in the firm’s risk and compliance procedures
· Ensure the effectiveness of internal controls and systems in respect of recording and reporting material breaches to the SRA, ICO or the NCA as appropriate
· Provide advice, management and development of the client’s risk and compliance systems
· Take the lead with the annual Lexcel accreditation
· Investigation and recording of actual and potential breaches to include reporting and recommendations for remedial action plans
· Act as the primary relationship contact for the SRA, ICO, Lexcel and any other appropriate regulatory bodies.
· Ensure that all compliance & risk policies and procedures are updated
· Act as the point of contact for client related data protection enquiries
You should have experience of working in a regulated environment within financial or professional services, ideally with knowledge of data protection legislation & AML procedures and able to pick up other areas quickly.
For a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at Dcrook@compliancerecruitment.com
We are acting as an employment agency in relation to this role.
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.