Risk and Compliance Manager – Southampton, Woking, or Guildford

A leading Southern law firm is looking for an experienced Risk and Compliance professional to join their team in a broad role. They are keen on finding someone who has a good understanding around financial crime issues as well as the Code of Conduct, conflicts, and complaints. The role can be based in Southampton, Woking, or Guildford. Flexible working from home is on offer, but this role is not remote.

Job Purpose:

  • Assisting the Head of Risk and Compliance with regulatory compliance, analysis, advice, project work and other ad hoc responsibilities as required.
  • Working across the Firm to ensure full compliance with all relevant regulatory / legal requirements placed upon the firm, including but not limited to the SRA Code of Conduct, Anti-Money Laundering, Tax Evasion, Modern Slavery, Bribery and Fraud Prevention.

Key responsibilities:

  • To provide senior legal, regulatory, and best practice support to the firm and its staff in relation to risk and compliance matters including but not limited to the SRA’s Standards and Regulations; Anti money laundering regulations; GDPR; and advising on matter of client confidentiality and privilege.
  • To monitor relevant legal/regulatory developments and advise on their implementation within the firm and assist with drafting and reviewing the firm’s policies and procedures to maintain compliance.
  • To maintain and update the firms’ engagement letters and terms of business.
  • To design and deliver firm wide compliance training including induction training.
  • To support the Complaints and professional indemnity claims management function within the Team.  Liaison with complainants, colleagues, and external parties; Legal Ombudsman, SRA, Information Commissioner, etc. Providing root cause analysis on claims and complaints and feedback and provide recommendations for improvement. This will include regular meetings with Client Care manager Partners and Divisional Leadership Team leads to ensure they understand the trends and root cause analysis if things go wrong and provide/direct training where a need is identified.
  • Supporting the AML Manager in implementing AML regulations and compliance across the firm.
  • Leading on periodic review of complaints and complaints management information.
  • Preparing and presenting on management reports regarding claims and complaints provision of regular claims management information to Head of Risk & Compliance.
  • Acting as a senior support for ensuring conflicts, client onboarding and financial crime issues are appropriately and seamlessly managed.
  • Taking the lead role in the firms practising certificate renewal process.
  • As a senior member of the Risk & Compliance team you may be required to assist others or work on additional tasks in line with the overall responsibilities of the Risk Management function.

Skills and Experience:

  • Ideally you will be a qualified lawyer, or someone with considerable experience with Risk & Compliance within a law firm setting.
  • Knowledge of operational compliance activities associated with Claims and Complaints handling, AML, GDPR, SRA, and COLP.
  • Knowledge of formal management systems would be advantageous, such as ISO, Lexcel, and CQS.
  • Significant AML experience.
  • Demonstrated ability to work within a framework of regulatory compliance.
  • Excellent communication skills.
  • The ability to work in an environment where quality output is paramount.
  • Analytical and organisational skills, including the ability to manage multiple tasks and projects.
  • Strong attention to detail and proven ability to handle confidential information in a professional and discreet manner.
  • A strong working knowledge of the SRA handbook and other relevant regulatory framework and legislation.
  • Technical ability to identify, analyse and evaluate regulatory and legislative changes.

For a confidential chat about this or other roles he is handling please contact Matt Pollard in the Jameson Legal London office.

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