At a Glance
- Tasks: Lead and develop the compliance framework while ensuring regulatory adherence.
- Company: Respected law firm offering a supportive and collaborative environment.
- Benefits: Competitive salary, hybrid working, and long-term career development opportunities.
- Other info: Genuine leadership opportunity with significant autonomy and influence.
- Why this job: Influence strategy and strengthen compliance standards in a pivotal leadership role.
- Qualifications: Strong experience in legal compliance and risk management required.
The predicted salary is between 70000 - 75000 £ per year.
We're partnering with a well-established and highly regarded law firm that is looking to appoint an experienced Head of Compliance to lead and further develop its Compliance and Risk function. This is a senior leadership opportunity for a compliance professional who can combine strategic oversight with hands-on delivery, ensuring the firm maintains robust systems, controls and processes while supporting continued growth and exceptional client service.
The Role
Reporting directly to senior leadership, you will be responsible for leading the firm's compliance framework and ensuring ongoing adherence to regulatory, legal and professional obligations. The position is both strategic and operational, requiring a confident and commercially minded compliance leader who can provide practical advice to the Board, partners and managers while overseeing the day-to-day delivery of compliance activities across the firm.
Key Responsibilities
- Regulatory Compliance & Governance
- Lead and develop the firm's compliance framework, including policies, procedures, controls, registers and risk assessments
- Ensure compliance with SRA Standards and Regulations, SRA Accounts Rules and other relevant regulatory requirements
- Support the Board, COFA and senior leadership team in meeting their regulatory obligations
- Monitor regulatory developments and implement required changes across the business
- Prepare and present compliance reports to senior management, committees and the Board
- Maintain accurate records of compliance decisions, breaches, audits and remedial actions
- AML, Financial Crime & Risk Management
- Oversee the firm's AML and financial crime compliance arrangements
- Maintain and develop the firm-wide AML risk assessment
- Provide guidance on client due diligence, enhanced due diligence, source of funds, source of wealth and sanctions compliance
- Review escalated AML and sanctions matters and ensure appropriate decision-making and documentation
- Manage compliance monitoring, file reviews and audit programmes
- Track and implement remedial actions arising from audits, reviews and regulatory feedback
- Data Protection & Information Governance
- Oversee the firm's data protection framework, policies and governance arrangements
- Advise on GDPR compliance, DPIAs, data sharing arrangements and information governance matters
- Support responses to subject access requests and data protection incidents
- Work closely with IT and operational teams to ensure appropriate controls are maintained
- Quality Assurance, Training & Professional Standards
- Develop and deliver risk-based file audit programmes across all departments
- Identify compliance trends, training needs and process improvement opportunities
- Lead compliance training initiatives and staff induction programmes
- Advise on professional conduct, conflicts, confidentiality, supervision and client care matters
- Support the firm's complaints handling framework and client protection objectives
- Leadership & Stakeholder Engagement
- Lead and develop the Compliance team
- Build strong relationships with partners, Heads of Department and operational teams
- Promote a positive compliance culture across the firm
- Provide practical, commercially focused advice that supports both regulatory compliance and business objectives
- Act as a trusted advisor to senior stakeholders on compliance and risk matters
About You
We're keen to speak with experienced compliance professionals who can demonstrate:
- Strong experience within legal compliance, risk management or a regulated professional services environment
- Excellent knowledge of SRA Standards and Regulations, SRA Accounts Rules, AML requirements, data protection and professional conduct obligations
- Experience conducting compliance monitoring, file audits and breach management
- Proven ability to advise partners, senior leaders and fee earners on complex compliance and regulatory issues
- Experience producing reports and recommendations for senior management and Board-level audiences
- Strong policy development, risk assessment and compliance framework experience
- A practical understanding of law firm operations, including client onboarding, matter management, billing, supervision and file closure
- Excellent communication, leadership and stakeholder management skills
Desirable Experience
- Previous experience as a Head of Compliance, Compliance Manager, COLP, MLRO or DPO
- Experience within an FCA-regulated environment
- Experience working within a multi-office law firm
- Exposure to legal technology, compliance workflow systems and case management platforms
- Experience supporting regulatory inspections, external audits or insurer reviews
- Relevant compliance, AML, risk management, legal or data protection qualifications
What's on Offer
- Competitive salary package
- Hybrid working arrangement
- Genuine leadership opportunity with significant autonomy and influence
- Opportunity to shape and enhance the firm's compliance strategy
- Supportive and collaborative working environment
- Long-term career development and progression prospects
Why Apply?
This is an excellent opportunity to join a respected law firm in a pivotal leadership role, where you'll have the opportunity to influence strategy, strengthen compliance standards and help drive a positive culture of risk management and regulatory excellence across the business.
Interested? Apply now or get in touch for a confidential discussion.
Head of Legal Compliance in Peterborough employer: Oculus Legal Group
Join a prestigious law firm in Nottingham/Peterborough as the Head of Legal Compliance, where you will lead a dynamic compliance team in a supportive and collaborative environment. With a competitive salary and hybrid working options, this role offers significant autonomy and the chance to shape the firm's compliance strategy while fostering a culture of regulatory excellence. The firm is committed to employee growth, providing long-term career development opportunities and a positive work culture that values your contributions.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Legal Compliance in Peterborough
✨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 Oculus Legal Group looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Legal Compliance in Peterborough
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 Oculus Legal Group. 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 Oculus Legal Group
✨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 Oculus Legal Group’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
