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Job Specification


£65K + BENEFITS | Hybrid (East Midlands/Anglia)
Ref: 3912D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading local law firm, seeks a Risk & Compliance Officer to ensure the Firm addresses and manages its operational risks, and is compliant with its risk management obligations under the SRA Code of Conduct.   


  • Act as Quality Manager for the Firm under Lexcel/ISO9001, including maintaining the Firm’s practice manual and policies including overseeing file reviews.   

  • Assist the COLP on compliance matters including carrying out audits and providing information to the Board on compliance and risk management.  

  • Assisting COLP, COFA and MLRO on compliance issues.   

  • Assist the firm to ensure continued compliance with ISO27001 in conjunction/supported and assisted by/with COLP and IT Director.   

  • Proactively to keep abreast of changes in the regulatory regime (including the SRA Code of Conduct).  

  • Work with the COLP to develop policies, procedures and training to ensure compliance.  

  • Provision/arrangement of training with COLP to partners and members of staff when policies and procedures are introduced or amended or for regulatory changes.   

  • Co-ordinate file audits for the Firm and report to the COLP/Board on findings from those audits.  

  • Provide support and guidance to all staff on compliance matters.   

  • Supervising maintenance of regulatory breach registers.   

  • Supervise the Administration Assistant in relation to risk and compliance duties.   

  • Carry out risk and compliance inductions for new starters.   

  • Ensure the firm’s intranet is kept up to date with compliance related policies and procedures.  

 You should have previous experience in a similar Law Firm risk/compliance role with at least a first degree in law. Further legal qualification/admissions advantageous although more important is the ability to communicate effectively both verbally and in writing as well as to teach and disseminate knowledge. NB You would be expected to attend an office once or twice a week (offices based across East Midlands and East Anglia) 


So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (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). 



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. 

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