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- Policy manager
- Head of Compliance
- Award winning advisory firm
- Excellent growing business
- Motivated management team
We are delighted to be partnering with an award winning advisory firm with a huge presence in the North East to recruit several key leadership positions into their growing business. As Head of Compliance, you will have a strategic and operational role in shaping the culture and direction of the firm. Reporting to the Management Team, you will be responsible for overseeing all aspects of our compliance operations. You will advise the Partners on statutory and regulatory policies, procedures and best practices, as well as driving initiatives to enhance efficiency and positive experiences for clients and employees. The responsibilities will include, but will not be limited to: - Developing and implementing compliance policies and procedures in line with the SRA standards and regulations, as well as other relevant laws and codes of conduct.
- Monitoring and reviewing compliance performance across the firm, identifying and mitigating any risks or issues, and ensuring timely reporting and resolution of any breaches or complaints.
- Providing guidance and training to staff on compliance matters, including anti-money laundering, data protection, confidentiality, conflicts of interest, and client care.
- Liaising with external auditors, regulators and insurers on compliance-related matters, and ensuring the firm maintains a positive reputation and relationship with them.
- Reviewing our Office and Professional Indemnity Insurance.
- Managing the firm's accreditations, such as Lexcel, CQS and Cyber Essentials, and ensuring compliance with their requirements and standards.
- Keeping abreast of the latest developments and changes in the legal sector and the regulatory environment, and ensuring the firm adapts accordingly.
- Leading and managing the compliance team, setting objectives and targets, and conducting appraisals and feedback.
- Supporting the Partners in developing and executing the firm's strategic vision and goals and contributing to the overall management and growth of the firm.
Required experience, skills and attributesThe main attributes we look for, but will not be limited to, are:Â - A solid background in compliance and risk management, preferably in the legal sector or a regulated environment
- A thorough knowledge of the SRA standards and regulations, anti-money laundering legislation, data protection laws, and other relevant rules and best practices
- Experience in renewing/maintaining Office and Professional Indemnity Insurance.
- An ability to design, implement and monitor effective policies and procedures that ensure compliance and mitigate risks across the firm
- An aptitude for leading and developing employees, providing guidance, training and support
- Excellent communication and interpersonal skills, with the confidence to liaise with senior management, regulators and clients
- A proactive and pragmatic approach to problem-solving, with strong analytical and decision-making skills
- A commitment to continuous improvement and innovation, keeping abreast of the latest developments and trends in compliance and risk management
 The successful candidate can expect to be offered: - a competitive salary, based on experience
- flexible working and working from home options
- pension and cycle-to-work salary sacrifice schemes
- additional holiday scheme for length of service
- additional holiday purchase scheme
- death in service benefit
- enhanced family leave pay
- health cashback plan
- a generous contribution to the staff pension scheme
- membership of Perkbox
- free on-site parking.Â
This is an excellent opportunity to join a really aspirational business at a key time of growth.
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