Head of Compliance - Law Firm

My client is experiencing a sustained period of growth which has created this new opportunity for a Head of Compliance.

You will work closely with senior leadership to ensure the firm is adhering to regulatory and compliance best practices. Responsible for day-to-day compliance and risk management, across onboarding, internal audit, policies and procedures and more.

Successful candidates will bring experience in compliance within the legal sector ready to hit the ground running, with extensive knowledge of AML., Anti-Money Laundering (AML) & Client Due Diligence (CDD):

Research, identify, and verify new clients using compliance software.

Maintain the firm’s AML database with up-to-date CDD information.

Conflicts:

Review conflict checks.

Maintain a clear record documenting all conflicts, communication with lawyers and other stakeholders.

Ensure adherence to legal and regulatory requirements specific to the legal industry.

SRA:

Leading and co-ordinating SRA audits.

Building relationships with relevant contacts at the regulator.

Keeping up to date with new or changes to guidance.

Risk Management:

Develop and update compliance policies and procedures.

Maintain firm wide risk register.

Training & Development:

Provide ongoing support and guidance to staff on compliance-related matters.

Develop mandatory compliance training and drive uptake.

Deliver introduction to compliance induction for new joiners.

Minimum of 4 years’ experience in AML within a UK law firm.

A good and advanced understanding of KYC and AML regulatory obligations.

Proficiency in AML compliance software.

Strong communication skills and confidence with MS Office.

Proficiency in Practice Management software.

Experience in dealing with the SRA.