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Our client is seeking a Compliance Manager to join their team. This role is integral to the management team, working closely with the firm's partners and responsible for ensuring compliance with various professional standards, regulations, and obligations. The successful candidate will develop and implement risk management policies, controls, and procedures (PCPs), and provide general risk and compliance related advice to the firm.
What you'll do:
As a Compliance Manager, you will play a pivotal role in maintaining the integrity of our client's operations. Your primary responsibility will be to ensure that all activities comply with regulatory standards. You will manage client complaints, monitor compliance progress, act as MLRO, conduct risk management activities, deal with conflict-related issues, participate in HR functions, deliver training, oversee CDD processes, liaise with insurance indemnity on claims, and assist with SRA Accounts rules compliance. Your ability to handle a varied workload while maintaining patience and professionalism will be key to your success in this role.
- Manage client complaints and any requests with the Legal Ombudsman or SRA.
- Monitor progress on achieving and maintaining compliance with the Lexcel standard.
- Act as MLRO - addressing all queries, concerns, or suspicions within the firm.
- Conduct firm-wide risk management, horizon scanning, updating PCPs, conducting internal audits.
- Deal quickly and effectively with conflict-related concerns or queries.
- Participate in the Firm's HR function which includes conducting initial and ongoing screening of staff.
- Deliver firm-wide training to new starters and existing staff.
- Oversee the client due diligence (CDD) process.
- Liaise with Professional Insurance Indemnity on claims.
- Assist the COFA with compliance relating to the SRA Accounts rules.
What you bring:
The ideal Compliance Manager candidate brings a wealth of experience in managing compliance within a legal setting. You are an effective communicator with sound investigative skills. Your ability to handle a varied workload demonstrates your adaptability and resilience under pressure. You have strong document drafting skills including complaint responses and PCPs. Your excellent administration skills are complemented by your attention to detail and proactive communication style. Your strong IT skills will be essential in this role.
- Effective communication skills.
- Sound investigative skills.
- Ability to handle a varied workload.
- Adaptability to change and ability to respond to changing priorities.
- Strong document drafting skills including complaint responses and PCPs.
- Excellent administration skills with attention to detail.
- Ability to communicate proactively providing regular updates.
- Resilience and ability to work under pressure.
- Strong IT skills.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
