Compliance Manager – Reading

This is an excellent chance to join a globally recognised law firm’s office in Reading. As a Compliance Manager, your job will be to advise the firm independently on best practices and compliance matters, ensuring that the SRA best practice standards are met. Furthermore, you will act as the MLRO, managing anti-money laundering policies and procedures, and ensuring the firm’s compliance by reporting as required.

Job Responsibilities:

  • Conducting risk assessments to understand the level, significance, and scope of risk in the firm’s risk and compliance procedures, and report on findings to the Managing Partner.
  • Reviewing and managing policies, systems, and controls related to risk and compliance, breaches, and reporting material breaches to the SRA, Information Commissioner’s Office (ICO).
  • Supporing the annual Lexcel accreditation process, the Law Society’s legal practice quality mark for practice management and client care.
  • Advising the Managing Partner (as COLP) and the Partnership on the implementation of risk and compliance matters.
  • Being the first point of contact for the firm’s data protection inquiries and Subject Access Requests.
  • Investigating and recommending any course of action following any client complaints.
  • Providing guidance and recommendations on corrective actions or risk mitigation of potential issues in policies, systems, and employee or Partner conduct.
  • Ensuring risk and compliance training is delivered effectively as required.
  • Maintaining up-to-date knowledge and understanding of appropriate regulations and internal policies and procedures, including money laundering regulations, General Data Protection Regulations, SRA Handbook, firm standards of client service, anti-bribery and corruption, conflicts of interest, client due diligence, etc.
  • Ensuring effective auditing of the Firm’s processes, to ensure it remains compliant with its statutory and regulatory obligations.
  • Working with the Managing Partner and the Firm’s insurers in defending claims against the Firm.

Experience required:

  • Experience of working in a compliance role within a law firm.
  • Excellent communication and leadership skills, with the ability to influence at all levels and build supportive relationships across the firm.
  • Experience of working collaboratively with Partners and Management Committee to resolve client conflicts to acceptable outcomes.
  • Ability to maintain the highest professional standards to ensure the firm is not in a position of risk.
  • Possess good IT skills and knowledge, which are essential together with excellent organisational skills.
  • Ability to balance commercial and compliance risks to achieve positive outcomes.
  • Ability to deal with confidential matters with discretion and tact.
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