Risk & Compliance Advisor – Salisbury

This is an excellent opportunity to work closely with a law firm’s Director of Best Practice, advising on how to best manage risk and compliance and support the firm’s ability to achieve this. The role is with a growing legal 500 firm and will be based in their Wiltshire office, providing support to offices across the UK. The successful candidate should have experience dealing with regulatory and compliance matters, be familiar with the Solicitors Regulation Authority (SRA) as a regulator and their codes of conduct, and have experience in a compliance-focused role at a law firm.

Job Responsibilities:

  • Providing advice and guidance on internal regulatory queries and supporting the Risk & Best Practice team with onboarding queries.
  • Being a primary reference point on compliance and related risk queries including on the Codes of Conduct (including client care, conflicts, confidentiality and information barriers), financial crime (particularly anti-bribery, and AML including sanctions and high-risk third country due diligence), limiting liability and professional negligence.
  • Being responsible for managing the firm’s claims and complaints register and producing regular reports on appropriate steps to take.
  • Drafting, amending, implementing and ensuring consistent adherence to the firm’s risk and compliance policies and procedures in line with the SRA regulations.
  • Supporting the processing of complaints and claims.
  • Conducting regulatory review and internal audit including reporting and any follow-up.
  • Designing and Providing training internal regulatory training to new joiners and fee earners.

Key Experience:

  • Experience dealing with SRA, AML and GDPR regulation is essential.
  • England and Wales solicitor qualification is beneficial.
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