A boutique law firm that provides a top-level service within primarily the Real Estate and Private wealth sector seeking a Compliance Manager to assist the Head of Risk and Compliance in all areas of internal and external legal compliance. They will be given the responsibility to ensure that the Firm operates in line with all relevant rules, regulations, and best practice, and in particular all aspects of the Money Laundering Regulations and the SRA’s regulatory requirements.
You will also work closely with the COLP and MLRO in the management of all regulatory and risk management issues. AML will be a key focus of the role. As part of the position, you will be able to liaise across the business and provide regular training on a wide variety of regulatory and risk management issues.
Key Responsibilities
- To be a central point of expertise on risk management and compliance related queries, including in relation to the SRA Code of Conduct and Principles, conflicts of interest, AML and sanctions queries.
- Assisting the General Counsel in the management of the firm’s client engagement and terms of business documentation – including engagement of third-party advisors for individual client matters.
- Assisting the Head of Risk and Compliance and COLP in the management, investigation and formal response to expressions of dissatisfaction and formal client complaints – ensuring the complaints register is effectively maintained and reporting emerging trends and proposed remedial action
- Providing support in respect of undertaking and documenting regulatory investigations and assessments.
- Liaising generally with all colleagues across the firm to address issues and queries which are raised with Risk and Compliance.
- Undertaking research into regulatory issues.
- Assisting in the regular review and creation of policies and procedures.
- Technical knowledge and practical experience in most of the core areas of responsibility.
- A willingness to learn new skills and help develop and innovate new solutions.
- Proven ability to build, maintain and nurture relationships, and communicate clearly at all levels with strong written and verbal communication skills.
- A client service-focused approach.
- Teamwork – there is always a place for individual effort and contribution. Equally we value you working collaboratively with colleagues far and wide.
Key Requirements
- 4+ years in a compliance role in a London law firm with a primary focus on AML
- Excellent interpersonal skills
- Excellent analytical skills and attention to detail
- A high standard of written and oral communication
- Positive and robust attitude with a high level of personal motivation
- Will always strive for excellent levels of client service
