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- Tasks: Lead compliance and risk management for a dynamic law firm in London.
- Company: Join a reputable law firm focused on compliance and client satisfaction.
- Benefits: Opportunity for career growth, training, and a supportive team environment.
- Why this job: Make a real impact on compliance practices while developing your skills in a managerial role.
- Qualifications: 3-5 years of compliance experience in a law firm; law degree or AML diploma preferred.
- Other info: Be the go-to person for all compliance queries and help shape the firm's future.
The predicted salary is between 48000 - 72000 £ per year.
A law firm in London are looking for a Compliance Manager to join their team.
The Compliance Manager will take day to day responsibility for the firm’s compliance, risk and business acceptance with oversight from the COO and the firm’s COLP, particularly in relation to new client and matter take-on procedures.
This role will act as the first point of contact for all Risk & Compliance and regulatory queries and reports to the COO.
Key Responsibilities
Support the Operations team with all aspects of Client Due Diligence and Conflict checks and act as an escalation for complex Fee Earner queries.
AML
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Review AML documentation in line with the firm’s policies and complete risk assessments on new and re-opened clients and matters
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Advise fee earners on the firm’s AML requirements
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Conduct ongoing monitoring of clients and enhanced client due diligence checks for higher risk clients
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Conduct research in relation to AML checks and advise on best online systems to verify clients’ identities and run background checks.
Client and matter management
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Run and review conflict checks
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Monitor the Client Opening team inbox and respond to queries as appropriate
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Run sanctions checks and respond to sanction list alerts
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Monitor engagement letter compliance
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Manage client and matter records maintenance e.g. updating outdated records and advising on firm policy in relation to this.
Risk and Compliance
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Advise Operations team and Fee Earners on the firm’s compliance policies and best practice
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Conduct new joiner and other ad hoc training for staff on the firm’s compliance policies and procedures
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Maintain compliance registers (e.g. undertakings)
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Educating employees and partners on compliance regulations and impact of non compliance to the firm including on induction and when significant changes occur
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Maintaining all registers, keeping up to date and producing quarterly reports for COO (Breaches, GDPR, Undertakings etc).
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First point of contact in dealing with and evaluating any client complaints.
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Assisting with annual Professional Indemnity renewal including producing risk management report to accompany PI submissions.
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Supporting with CQS renewal and re-accreditation and with lender panel requirements.
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Supporting with annual SRA registration renewal
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Assistance with ESG and Info Sec queries
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Supervision of junior members of the team.
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Assist with any other duties that might be reasonably assigned to the role., * 1
Risk
- 1
Compliance Procedures
- 1
Law Firms
- 1
Legal Compliance
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3-5 years experience as a Compliance Officer in a law firm or professional service firm.
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A law degree/compliance or AML diploma would be preferable
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Knowledge of key processes such as conflict checks, and AML is a prerequisite.
This is a great opportunity for someone with experience to step up into a Manager role and grow and develop with the firm helping take the compliance function forward.
Please contact Rowena Bubb of Lewis Row Recruitment with any questions at all.
Compliance Manager employer: Lewis Row Ltd
Contact Detail:
Lewis Row Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarize yourself with the specific compliance and risk management frameworks used in law firms. Understanding the nuances of AML procedures and conflict checks will give you an edge during discussions.
✨Tip Number 2
Network with professionals in the legal compliance field, especially those who have experience in law firms. Engaging with them can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Stay updated on the latest regulatory changes affecting law firms in the UK. Being knowledgeable about current compliance issues will demonstrate your commitment and expertise during interviews.
✨Tip Number 4
Prepare to discuss real-life scenarios where you've successfully navigated compliance challenges. Sharing specific examples will showcase your problem-solving skills and readiness for the Compliance Manager role.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities of a Compliance Manager. Highlight your relevant experience in compliance, risk management, and client due diligence in your application.
Tailor Your CV: Customize your CV to reflect your experience in compliance within law firms or professional services. Emphasize your knowledge of AML processes, conflict checks, and any relevant qualifications such as a law degree or compliance diploma.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your skills align with the firm's needs. Mention specific examples from your past experience that demonstrate your ability to handle compliance and risk management effectively.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a Compliance Manager role.
How to prepare for a job interview at Lewis Row Ltd
✨Understand Compliance Regulations
Make sure you have a solid grasp of compliance regulations, especially those relevant to law firms. Be prepared to discuss how you've applied these regulations in your previous roles and how they can impact the firm's operations.
✨Showcase Your Experience
Highlight your 3-5 years of experience as a Compliance Officer. Be ready to provide specific examples of how you've handled client due diligence, conflict checks, and AML processes in past positions.
✨Demonstrate Leadership Skills
Since this role involves supervising junior team members, be prepared to discuss your leadership style and any experience you have in training or mentoring others. Share examples of how you've successfully led a team or project.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about potential challenges you might face in this role and how you would address them, particularly regarding client complaints and compliance breaches.