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My client is seeking a Compliance Manager/Solicitor to join their well establish and well known law firm in Bristol. Hybrid working is available.
You will support the Compliance team, Head of Department and Board on strategic and critical regulatory and compliance matters, monitoring risk trends and compliance developments, and ensuring the firm complies with all SRA, Lexcel and general regulatory obligations.
The team comprises the Head of Compliance, a Consultant and an Assistant. They support the business with day-to-day queries in areas including anti-money laundering, conflicts, data protection, complaints and regulatory standards. The team is an integral and respected part of the firm and key to protecting it from risk.
The role
- Staying updated on relevant regulations and internal policies.
- Ensuring compliance with the SRA Standards & Regulations.
- Overall responsibility for ensuring the completion of file audits in accordance with procedures.
- Ensuring the firm’s ongoing compliance with the Lexcel standard.
- Monitoring complaints and providing support on final responses when required.
- Supporting the COLP in submitting complaints data to the SRA.
- Monitoring negligence claims and supporting the COLP in liaising with insurers.
- Providing cover for new starters and departmental training when required.
- Preparing data for quarterly risk meetings.
- Drafting, reviewing and revising policies, procedures and controls across the firm as required.
- providing HR support to the team when needed.
- Dealing with staff queries about money laundering and source of funds/wealth.
- Reporting suspicious activity to the NCA.
- Monitoring high-risk matters.
- Monitoring for changes in the law and disseminating training when required.
- Reporting breaches to the ICO and SRA.
- Recording internal breaches and reporting patterns to Heads of Department when required.
- Identifying and reporting breaches of the SRA Accounts Rules.
- Monitoring the bribery register.
- Reminding staff about their obligations under the Bribery Act and disseminating training when required.
The ideal candidate
The ideal candidate will be a qualified Solicitor or FCILEx with previous experience managing their own caseload and clients, plus at least three years of working in a regulated environment within the compliance function.
Computer literacy is essential for this role, particularly Microsoft Office. You must be confident in using and adapting to new systems and processes and have experience in using a Case Management System.
Should you have any questions or wish to apply please do not hesitate to contact Clear Legal and Financial Recruitment.
Please Note: Due to the number of applications we receive we may be unable to respond to every application directly. If you have not heard from us within 3 working days, please assume your application has been unsuccessful.
