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- Qualified Solicitor, Chartered Legal Executive, or Licensed Conveyancer with at least 4 years PQE
- Ideally experience in a compliance related capacity within a legal practice
- Experience in:
- Handling client complaints
- KYC and money laundering procedures
- Overseeing regulatory compliance to maintain SRA authorization
- Reviewing client care documentation and firm terms and conditions
- Understanding of transparency rules
- Compliant advertising and lead generation
- Conducting firm-wide risk assessments
- Delivering in-house regulatory training
- Developing internal compliance failure reporting processes
- Solicitor, CILEx or CLC qualified with at least 4 years PQE
- Capable of problem-solving and thinking outside the box
- Skilled in delivering presentations to staff
- Able to provide comprehensive reports to the Management Team
- Approachable and collaborative, fostering a nurturing work environment
- Ensure overall compliance with the firm's CLC authorisation terms and conditions
- Update and maintain internal compliance policies and the Compliance Plan
- Implement and communicate procedural changes across the firm
- Stay informed about regulatory and compliance changes
- Conduct staff training on compliance and client service quality
- Report directly to the Head of Conveyancing and Directors on compliance matters
- Provide regular status reports on the firm's compliance arrangements
- Oversee and approve all lead generation and service advertisements
- Understand and manage other compliance areas, including:
- Training and CPD obligations
- Money laundering prevention
- Data protection
- Solicitors accounts rules procedures
