LAW FIRM DEPUTY HEAD OF COMPLIANCE – QUALIFIED LAWYER WITH GOOD SRA COMPLIANCE EXP REQUIRED
£70K - £73K + benefits & bonus | WFH
This role will involve working alongside the Legal Director - Risk and Compliance in identifying and managing the firm's regulatory compliance and professional risks to provide leadership, specialist knowledge and advice for the risk and compliance team (R&C). You will take ownership for R&C issues where a higher level of management is required and act as an escalation point for the R&C team. You will also act as Deputy for the Legal Director and as a line manager for the team. Detailed duties include;
- Providing accurate, proportionate, commercial and risk-based specialist legal, regulatory, risk or compliance advice and escalating in accordance with process.
- Day to day responsibility, subject to escalation to Legal Director – R&C and COLP, for investigating and resolving all formal complaints, incidents and breaches, establishing the causes and reporting on mitigation and themes.
- Managing firmwide risks particularly around ethical, regulatory and conduct risks including updating and reporting on risk registers.
- Undertaking the R&C file reviews including thematic reviews and audits, ensuring that all corrective actions are mitigated, and any trends/issues are managed.
- Analysing all R&C data and providing succinct and meaningful reports on trends, emerging risk issues or developments, providing suggestions for mitigation and updating the departmental risk registers.
- Responsibility for managing the R&C team’s responses to client requests/questionnaires and tenders including escalating to risk and compliance committee as required with recommendations to mitigate risks.
- Keeping up to date with emerging risk issues, as appropriate, preparing reports to the risk and compliance committee and/or the Exec with recommendations around mitigation.
- Developing and communicating concise and user-friendly R&C policies, procedures, guidance and communications.
- Monitoring and considering the impact of regulatory and legislative changes to identify gaps in the firm’s risk and compliance knowledge and being proactive to address those gaps.
- Providing input into business and strategic decisions from a risk and compliance perspective, including providing support for internal projects to ensure that our regulatory responsibilities are met.
You should be a qualified solicitor or other legal professional with significant working experience (from a similar in house law firm compliance role) of the regulatory framework, including the SRA Handbook, regulatory standards & procedures and some knowledge of GDPR/Data Protection
NB the firm has offices in the North West, Midlands, London & South West and the role can be based at any of these or else be home based with travel to an office when required (maybe once or twice a month).
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including a contact no) 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).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. 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.