At a Glance
- Tasks: Lead risk and compliance initiatives, advising on professional conduct and managing claims.
- Company: Join DMH Stallard, a top law firm with a supportive and inclusive culture.
- Benefits: Enjoy 25 days holiday, private healthcare, and a cycle to work scheme.
- Other info: Be part of a team that values work-life balance and career development.
- Why this job: Make a real impact in a collaborative environment while promoting compliance and improvement.
- Qualifications: Proven experience in risk and compliance within a law firm is essential.
The predicted salary is between 56700 - 69300 £ per year.
DMH Stallard provides a comprehensive range of commercial, dispute resolution and litigation, employment, cyber security and cyber-crime, corporate, intellectual property, real estate and technology, media and telecoms advice to both businesses and individuals. Our clients, our people and our professional networks are the keys to our success.. With offices in London and across the region, including Brighton, Gatwick, Guildford, Horsham, and Hassocks - we’re proud to have grown to over 400 people.
Culture really matters to us. In our most recent staff survey, 99.6% of our people said DMH is a great place to work, with 90% feeling they have a strong work-life balance, and 93.9% expressing confidence in the leadership team.
We’re committed to building a genuinely inclusive and supportive workplace. Our Women in Law group meets quarterly, and we’re actively working toward gender balance at all levels. We already exceed the industry average, with 40% of our partners being women compared to the sector average at 29%.
We actively invest in learning and development at all career stages. Our mentoring programme is available to all partners, and we are preparing to launch an internal mentoring programme to support progression right up to partnership. We also recognise that work-life balance is essential to long-term success and wellbeing, and we promote hybrid working arrangements to help our people perform at their best inside and outside of work.
We’re also especially proud to achieve gold accreditation from Investors in People, which reflects our strong commitment to people development and leadership.
This is an exciting opportunity for an experienced Risk and Compliance Manager to join our established team. 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 require
- 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?
We’re looking for an experienced risk and compliance professional who thrives in a collaborative, fast-paced environment. You’ll be confident engaging with partners and staff at all levels, highly organised, and motivated by promoting a culture of compliance and continuous improvement across the firm.
Essential
- 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
Desirable
- 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
Benefits
- 25 days holiday (of which 3.5 are taken during the Christmas period), plus Birthday holiday, plus Bank Holidays.
- Buying Holiday Scheme
- Enhanced Maternity/Paternity Pay
- Life Assurance
- Private Healthcare
- Employee Assistance Programme
- Sodexo Discounts
- Pension Scheme
- Interest free season ticket loans
- Cycle to work scheme
- Discounts on Legal work
Risk & Compliance Manager in London employer: DMH Stallard
DMH Stallard is an excellent employer that values collaboration and professional growth within a supportive hybrid work environment. With 25 days of holiday and a focus on building trusted relationships, employees are encouraged to thrive in their roles while contributing to the firm's commitment to risk and compliance excellence. The culture fosters teamwork and innovation, making it a rewarding place for those looking to make a meaningful impact in their careers.
StudySmarter Expert Advice🤫
We think this is how you could land Risk & Compliance Manager in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like DMH Stallard looking for candidates who are engaged and informed.
We think you need these skills to ace Risk & Compliance Manager in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at DMH Stallard. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at DMH Stallard
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with DMH Stallard’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
