Senior Compliance Manager - Law Firm
A leading London-based law firm is seeking an experienced Senior Compliance Manager to join its established Risk & Information Security function.
You will play a key role in maintaining regulatory standards, supporting fee earners, and contributing to firm-wide risk initiatives.
Reporting into senior leadership within Risk & Compliance, you will be responsible for supporting core compliance programmes and providing expert guidance across the business.
Key Responsibilities
- Triaging conflicts issues and advising on SRA Code of Conduct requirements
- Supporting new client onboarding processes and use of onboarding systems
- Reviewing client complaints and supporting resolution processes
- Preparing correspondence and liaising with internal stakeholders and external bodies (including regulators and ombudsman services)
- Acting as a key point of contact for compliance queries across the firm
- Advising on professional standards, engagement terms, and regulatory obligations
- Drafting and updating internal policies (e.g. conflicts, AML, modern slavery, insider dealing)
- Supporting ISO standards compliance
- Conducting internal file reviews to ensure consistent application of standards
- Supporting risk and compliance projects and research initiatives
- Assisting with wider regulatory and operational risk programmes
- Managing document requests from clients and third parties (including regulatory and law enforcement bodies)
About You
- Qualified solicitor, barrister, or equivalent (or relevant experience within a law firm risk/compliance function)
- 4+ years’ PQE or equivalent experience
- Strong working knowledge of the SRA Code of Conduct and regulatory framework
- Experience or understanding of: AML, sanctions, and source of funds, conflicts of interest, data protection
- Excellent written and communication skills
- Confident dealing with senior stakeholders
- Highly organised with the ability to manage competing priorities
Interested? Apply now, or send your CV through to Zali Oulton at zalioulton@taylorroot.com
