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- Tasks: Lead compliance efforts, manage AML procedures, and ensure regulatory adherence.
- Company: Join a prestigious law firm in Plymouth known for its forward-thinking approach.
- Benefits: Enjoy a competitive salary, great benefits, and hybrid working options.
- Why this job: Be part of a dynamic team that values compliance and efficiency in the legal sector.
- Qualifications: Experience in compliance management and knowledge of SRA and AML regulations required.
- Other info: Confidential application process with a commitment to candidate privacy.
The predicted salary is between 28800 - 43200 £ per year.
A prestigious and forward-thinking law firm in Plymouth is seeking an experienced Compliance Manager to join their team. The successful candidate will be responsible for overseeing the firm’s compliance with regulatory requirements, ensuring adherence to Solicitors Regulation Authority (SRA) rules, Anti-Money Laundering (AML) regulations, and other legal industry standards. Reporting directly to the Managing Director, the Compliance Manager will play a key role in maintaining robust compliance systems, updating policies and procedures, and providing strategic advice to ensure the firm’s operations remain compliant and efficient.
Key Responsibilities
- Regulatory Compliance: Oversee and ensure compliance with the Solicitors Regulation Authority (SRA) rules, regulations, and codes of conduct, keeping up to date with any changes in legislation or regulatory requirements that affect the firm.
- Anti-Money Laundering (AML): Manage the firm’s anti-money laundering (AML) procedures, including conducting regular risk assessments, ensuring client due diligence (CDD) checks are completed correctly, and monitoring the effectiveness of the firm’s AML controls.
- File Management: Supervise and audit client files to ensure that they are being managed in accordance with legal and regulatory standards, implementing corrective actions where necessary.
- Policy Development & Implementation: Review, update, and implement the firm’s internal compliance policies and procedures, ensuring that best practices are adhered to across all departments.
- Training & Awareness: Develop and deliver training to staff on regulatory matters, compliance obligations, and best practices, fostering a culture of compliance throughout the firm.
- Reporting & Documentation: Prepare and present regular compliance reports to the Managing Director and senior management, outlining key risks, audits, and compliance updates.
- Internal Audits & Risk Management: Lead and conduct regular internal audits of processes and files to assess the firm’s compliance status, identify areas for improvement, and implement risk mitigation strategies.
- Liaising with Regulators: Serve as the main point of contact for regulatory bodies, responding to any queries or investigations from the SRA, HMRC, or other relevant authorities.
- Process Improvements: Work collaboratively with senior leadership to streamline compliance-related processes and improve efficiency, ensuring the firm’s compliance framework is aligned with industry standards and regulatory changes.
The salary is dependent on skills and experience, a good benefits package is offered together with hybrid working.
Please get in touch if you would like more information on this role or send us your CV below in complete confidence and we will get back to you.
Legal Southwest will never, without exception, send out your CV without your prior knowledge or consent so please be assured that we treat every application with the utmost confidentiality.
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Compliance Manager employer: Legal Southwest
Contact Detail:
Legal Southwest Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest SRA rules and AML regulations. Being well-versed in these areas will not only boost your confidence during interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the legal compliance field. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities at firms like ours.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles. Highlighting your problem-solving skills and how you've successfully navigated complex regulatory environments will set you apart from other candidates.
✨Tip Number 4
Showcase your ability to develop and implement training programmes. As a Compliance Manager, you'll need to foster a culture of compliance, so demonstrating your experience in educating staff on regulatory matters will be a big plus.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Manager. Familiarise yourself with the Solicitors Regulation Authority (SRA) rules and Anti-Money Laundering (AML) regulations, as these will be crucial in your application.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance management, regulatory oversight, and policy development. Use specific examples that demonstrate your ability to manage compliance systems and conduct audits.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your passion for compliance and your understanding of the legal industry. Mention how your skills align with the firm's needs and your commitment to maintaining high compliance standards.
Highlight Training Experience: If you have experience in developing and delivering training on compliance matters, be sure to include this in your application. This is a key responsibility of the role, and showcasing your ability to foster a culture of compliance will strengthen your application.
How to prepare for a job interview at Legal Southwest
✨Know Your Regulations
Familiarise yourself with the Solicitors Regulation Authority (SRA) rules and Anti-Money Laundering (AML) regulations. Be prepared to discuss how you have ensured compliance in previous roles and any changes in legislation that may impact the firm.
✨Demonstrate Leadership Skills
As a Compliance Manager, you'll be leading initiatives and training staff. Share examples of how you've successfully led teams or projects in the past, highlighting your ability to foster a culture of compliance within an organisation.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about potential compliance challenges a law firm might face and how you would address them, showcasing your strategic thinking and risk management abilities.
✨Showcase Your Communication Skills
Effective communication is key in this role. Be ready to explain complex compliance issues in simple terms, as you will need to train staff and liaise with regulators. Practice articulating your thoughts clearly and confidently.
