Back to vacancies

 

EXCLUSIVE: LAW FIRM HEAD OF COMPLIANCE 

LEGAL PRACTICE OMPLIANCE EXPERIENCE REQUIRED

£100K -£120K + benefits & bonus  

Hybrid (City of London)

Ref: 3987D2

We are exclusively recruiting for our client, a leading law practise, now looking for their first ever full
time Head of Compliance to develop their new department. Reporting to the COO, liaising closely with
the COLP and managing a small team, duties will include;

 

  • Ensure compliance with the terms and conditions of the firm's authorisation;
  • Ensure that a prompt report is made to the SRA of any serious breach of the terms and conditions
    of the firm's authorisation or the regulatory arrangements which apply to the firm, managers or
    employees
  • Maintain a register of breaches of regulatory arrangements and notify the SRA on an annual
    basis of any non-material breaches
  • Assist in resolving any conflicts issues
  • Act as the firm's money laundering reporting officer; maintaining and updating the firm's AML
  • Assist in complicated or high risk client onboarding and third party audit programme.
  • Maintaining a register of gifts, gift reporting and approval, maintaining and updating the firm's
    anti-bribery policies
  • Maintaining and updating the firm's Sanctions policy and risk assessment; responsible for
    Sanctions reporting to OFSI; advising the business on Sanctions issues for suppliers eg payment
    services
  • Advising the business on use of the client account
  • Reviewing risks in the Risk register

 

You must have Law firm Compliance experience including AML & Conflicts and be willing to pick up
other areas. You should be able to manage your own workload and have the confidence to supervise a
team of three although prior supervisory experience not required, so may suit someone looking for their
first senior role.
Great opportunity to join a friendly forward thinking firm in this newly created role and make it your
own. NB the role is hybrid including 3d pw in the office (pleasant modern building in the heart of the
City of London)
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at
david@compliancerecruitment.com (Including a contact number & email) however please note we
cannot reply to all applications, so only successful applications will be contacted (although under no
circumstances are your details ever passed on without your specific permission).

 

Apply Here