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- Establish a standardised approach for delivering and documenting operational services to ensure effective management and governance of compliance across all offices.
- Ensure full compliance to AML regulations at all offices.
- Act as the primary contact for professional indemnity insurers, handling claims, maintaining records, and conducting investigations.
- Oversee safety management in alignment with established policies.
- Provide accurate, regular updates and reports on compliance status to the senior management team, and timely updates on non-compliance issues.
- Assist in managing escalated complaints with the Solicitors Regulation Authority (SRA) or Legal Ombudsman, serving as Liaison Officer during SRA inspections.
- Advise fee earners on professional conduct matters, including conflicts of interest and ethical considerations.
- Collaborate with Group Heads to identify areas of improvement, strengthen practices, and enhance the firm's risk profile.
- Deliver training sessions on risk-related topics while staying informed about updates to professional conduct rules.
- Conduct compliance audits for internal policies and contribute to developing risk management strategies.
- Maintain the Confidential Register of Interests and coordinate the Lexel accreditation process.
- Ensure letters and website changes comply with Law Society and SRA regulations.
- Monitor adherence to the Solicitors Code of Conduct and support due diligence processes for mergers and acquisitions.
- Train staff on revised policies and provide information.
- Conduct File Reviews.
- Assist staff with client files and address any queries
- Supervise and train the Risk and Complaints Manager and Risk and Complaints Officer.
- 3+ years’ experience in a management compliance role within legal services
- Proven track record in developing and maintaining positive stakeholder relationships;
- Demonstrable experience in working to tight deadlines with high levels of accuracy;
- Demonstrable experience of current regulations and guidelines as set out by the Solicitors Regulation Authority, Information Commissioners Office and National Crime Agency
- Excellent communication and interpersonal skills
- Confident telephone manner and ability to build rapport;.
- demonstrated history of guiding a business towards adopting proactive risk and control management, enhancing operational quality and building operational resilience.
