Compliance Manager

Are you Proactive? Do you have experience as Compliance Manager? Are you an organised individual? If so, this role could be for you.

My client is looking for a Compliance Manager to collaborate closely with Managers at all levels and across all areas of their organisation.

Benefits:

• Salary up to £45,000 DOE
• Pension Scheme
• Health cash plan for workplace wellbeing
• Employee referral bonus
• Up to 33 days\’ paid leave per year
• Christmas Shutdown

Duties and Responsibilities:

• Act as the primary contact for professional indemnity insurers, handling claims, maintaining records, and conducting investigations.
• Establish a standardised approach for delivering and documenting operational services to ensure effective management and governance of compliance across all offices.
• Ensure full compliance to AML regulations at all offices.
• Provide accurate, regular updates and reports on compliance status to the senior management team, and timely updates on non-compliance issues.
• Assist in managing escalated complaints with the Solicitors Regulation Authority (SRA) or Legal Ombudsman, serving as Liaison Officer during SRA inspections.
• Advise on professional conduct matters, including conflicts of interest and ethical considerations.
• Collaborate with Group Heads to identify areas of improvement, strengthen practices, and enhance the firm\’s risk profile.
• Deliver training sessions on risk-related topics while staying informed about updates to professional conduct rules.
• Conduct compliance audits for internal policies and contribute to developing risk management strategies.
• Ensure letters and website changes comply with Law Society and SRA regulations.
• Monitor adherence to the Solicitors Code of Conduct and support due diligence processes for mergers and acquisitions.
• Train staff on revised policies and provide information.
• Supervise and train the Risk and Complaints Manager and Risk and Complaints Officer.

Skills and Experience:

• 3+ years\’ experience in a management compliance role within legal services
• Proven track record in developing and maintaining positive stakeholder relationships;
• Demonstrable experience in working to tight deadlines with high levels of accuracy;
• Demonstrable experience of current regulations and guidelines as set out by the Solicitors Regulation Authority, Information Commissioners Office and National Crime Agency
• Excellent communication and interpersonal skills
• Confident telephone manner and ability to build rapport;.
• demonstrated history of guiding a business towards adopting proactive risk and control management, enhancing operational quality and building operational resilience.

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