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- Regulatory Compliance: Ensure the firm’s compliance with the Solicitors Regulation Authority (SRA) Standards and Regulations, including the Code of Conduct and anti-money laundering (AML) obligations.
- Policy Development & Implementation: Draft, review, and enforce compliance policies, procedures, and best practices to meet legal and regulatory requirements.
- AML & Financial Crime Compliance: Act as the firm’s primary point of contact for AML compliance, ensuring adherence to AML regulations, conducting client due diligence (CDD) checks, and providing training on financial crime risks.
- Risk Management: Identify, assess, and mitigate compliance risks across the firm, maintaining risk registers and advising on best practices.
- Complaints & Investigations: Oversee the firm’s complaints handling process, liaising with clients, third parties, and the Legal Ombudsman where necessary.
- Lexcel & Accreditation Maintenance: Ensure ongoing compliance with Lexcel accreditation and other professional standards, preparing for audits and inspections.
- Training & Awareness: Deliver compliance training and updates to staff, ensuring awareness of regulatory changes and obligations.
- Data Protection & GDPR Compliance: Oversee data protection policies and practices to ensure compliance with GDPR and other relevant legislation.
- Proven experience in a compliance role within a law firm.
- In-depth knowledge of SRA regulations, AML legislation, and GDPR.
- Strong analytical and problem-solving skills, with the ability to interpret and apply complex regulations.
- Excellent attention to detail and ability to manage confidential information with discretion.
- Effective communication and training skills, with the ability to engage with stakeholders at all levels.
- A proactive, self-motivated approach to compliance and risk management.
