This is an exciting opportunity for an experienced Risk and Compliance Manager to join our established team based in our Brighton and London office. Due to continued growth, we are recruiting an additional full‑time Risk and Compliance Manager to work alongside the Head of Risk, two existing Risk and Compliance Managers, and an Assistant. This is a highly visible role requiring the promotion of risk and compliance across the firm, trusted advisory relationships with senior stakeholders, and close collaboration with the wider Risk team to develop and implement policies, procedures, and guidance.
Role and Responsibilities
- Advise fee earners on professional conduct matters including conflicts of interest, ethics, the SRA Standards and Regulations, and the SRA Accounts Rules
- Monitor compliance with the Solicitors Code of Conduct, including introduction and referral arrangements and vetting of new schemes
- Horizon‑scan legislative and regulatory developments, coordinate implementation across the firm, and update relevant stakeholders
- Manage actual and potential claims against the firm: liaise with professional indemnity insurers, conduct investigations, maintain records, and process payments and receipts on nominal accounts
- Investigate and coordinate responses to complaints, provide analysis and reports to the Management Team, and support the Head of Risk with complaints that escalate to the SRA or Legal Ombudsman
- Draft, review, and update risk management policies and procedures
- Conduct compliance audits of practice groups, provide feedback, and monitor matter‑specific risk management plans
- Coordinate the firm’s Lexcel accreditation assessment and application
- Maintain Root Cause Analysis records in line with Law South Risk & Compliance Standards and complete Law South questionnaires and self‑assessment audits
- Assist with the annual professional indemnity insurance renewal, liaise with Accounts on premium payments, and handle insurance‑related queries from fee earners
- Work with IT, Finance, HR, and Office Services to maintain the firm’s Business Continuity Plan and report to the Management Team
- Attend and contribute to the firm’s Information Security Group meetings
- Deliver induction training for new joiners and ongoing training to the firm on risk‑related matters
- Supervise and help develop the Risk and Compliance Assistant
- Contribute to senior management reports as required
- Support due diligence on potential mergers and acquisitions
- Collaborate with Marketing and Business Development to ensure compliance with Law Society guidance and SRA rules
- Assist Groups with file transfers, panel management and tender applications
- Review third party terms of business (e.g. lender panel agreements) on behalf of the firm
Who Are We Looking For?
- Proven mid‑to‑senior‑level experience in risk and compliance within a law firm
- Detailed knowledge of the SRA Code of Conduct, SRA Accounts Rules, SRA Standards and Regulations, indemnity insurance rules, and the Legal Ombudsman scheme
- Strong understanding of professional indemnity insurance and general awareness of other insurance classes
- Excellent interpersonal and influencing skills; confident engaging with partners, staff at all levels, clients, and external bodies
- Highly organised and self‑motivated with strong attention to detail and the ability to prioritise and remain calm under pressure
- Clear, effective written and verbal communication, including the ability to present complex subjects in accessible terms
- Strong analytical, investigative, and problem‑solving abilities with good negotiating and drafting skills
- A collaborative, team‑oriented approach with the ability to work autonomously and build trusted advisory relationships with senior stakeholders
- Familiarity with risk management techniques and frameworks
- Awareness of Money Laundering legislation, Data Protection legislation, the Criminal Finances Act 2017, the Bribery Act 2010, and the Financial Services and Markets Act
- Training, presentation, and interviewing capability
- Ability to develop a good working relationship with regulatory bodies
- Proficiency in Microsoft Office applications
25 days holiday (of which 3.5 are taken during the Christmas period), plus Birthday holiday, plus Bank Holidays.
Risk Compliance Manager employer: DMH Stallard LLP
DMH Stallard LLP is an exceptional employer that fosters a collaborative and supportive work culture, ideal for solicitors looking to grow their careers in personal injury and clinical negligence law. Located in Gatwick, our office offers a dynamic environment where you can manage a diverse caseload while benefiting from mentorship by experienced professionals, ensuring ample opportunities for professional development and client engagement.
