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Compliance Manager

Lewis Row Ltd
Closing date
21 Dec 2021

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Contract Type
Full Time
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A London Law Firm are looking for a new Compliance Manager to join them.

The role reports to the COLP and will primarily be responsible for assisting them in ensuring the firm complies with its regulatory responsibilities under the SRA Code of Conduct and otherwise. This is a key role working within and alongside the senior management of the firm, advising on technical compliance issues that arise as well as recommending and implementing improvements to systems and controls. There is also an element of training delivery to employees, Partners and external clients.

The Compliance Manager will manage a Compliance Analyst and Assistant.

Key responsibilities:
  • Working with the COLP to ensure the firm is compliant with all regulatory responsibilities including but not limited to SRA Standards & Regulations, Anti-Money Laundering Regulations, GDPR/Data Protection Act, Risk Management, Equality, Diversity & Inclusion and best practice.
  • Maintaining and then reviewing the firm's Risk Register (which covers strategic, operational and regulatory risks) annually with the rest of the Compliance team.
  • Advising employees and Partners within the firm on corporate governance best practice, regulatory and compliance issues as necessary.
  • Providing detailed advice and guidance as required to the COLP and MLRO.
  • Assisting in developing, initiating, maintaining and revising policies and procedures.
  • Reviewing processes and systems to ensure that appropriate measures are in place for compliance with all relevant legislation and other legal requirements firm wide.
  • Ensuring that any regulatory issues brought to light via the monitoring processes are escalated to the appropriate business area and that the COLP is kept informed.
  • Keeping abreast of changes in regulatory and compliance requirements and considering the impact of any such changes on the firm's Compliance Plan;
  • As part of the Equality, Diversity and Inclusion team, attend meetings and assist the Partners on plans and relating projects.
  • Assisting the LEXCEL Partner in coordinating the annual LEXCEL audit.
  • Assisting with the firm's accreditation and audits in relation to ISO27001.
  • Providing advice on conflicts and complaints.
  • Providing input into strategic planning on large, complex and high-risk cases.
  • Providing ongoing regulatory advice to all internal stakeholders as required.
  • Participating in matters of concern surrounding potential malpractice or misconduct as required.
  • Delivering induction training to new solicitors and other fee-earning employees.
  • Ensuring the firm's Breach Register is kept up to date and that the information collated from any internal breach form is captured.
  • Maintaining and reviewing the firm's Business Continuity Plan.
  • Co-coordinating the firm's annual CQS accreditation process and dealing with applications for admission to lender panels.
  • Assisting the Business Development team in reviewing Terms and Conditions and Framework Agreements during tender applications.
  • Carrying out appropriate due diligence and signing off on all New Client set up forms.
  • Ensuring that relevant documentation is completed each time the Firm takes on a new Partner or promotes an existing employee to Partner level.
  • Working with HR as required on PC renewal and on other regulatory issues.
  • Overseeing the firm's Procurement process.

It would be great to hear from qualified solicitors or those qualified through experience, at different levels from junior management to senior.

The salary is negotiable, and the firm are genuinely open to hearing of interested candidate's salary expectations when introduced so let's have a chat.

The firm offer agile working and are very flexible too.

It would be great to hear from interested candidates so please don't hesitate to contact Rowena Bubb of Lewis Row Recruitment for a further chat.
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