Compliance Manager

1 week ago

Cardiff, Cardiff, United Kingdom Acuity Law Limited Full time

About Acuity Law

Acuity Law is a dynamic law firm with a modern organisational structure and an agile, fluid team-centric model. Not held back by tradition, we are always looking to improve our client service and grow our community of lawyers.

We are a team of instinctively commercial lawyers and legal professionals, passionate about delivering the best legal service with our people and our clients at the heart of everything we do.
As experts in our fields, total quality at all levels of our business is our hallmark. This is our measure of success: long-standing client relationships, helping our clients to achieve their business objectives as an extension of our client's commercial and legal teams.

The firm's culture is reflected in the quality of service to clients and the speed and precision with which the Acuity Law team gives advice.

Role Overview

We are seeking a dedicated and experienced Compliance Manager to join our award-winning law firm. As the Compliance Manager, you will work with the COLP/COFA/MLRO to ensure that the firm operates in full compliance with all applicable laws, regulations, and ethical standards. You will play a critical role in developing and implementing compliance programs, conducting internal audits, and providing guidance on legal and regulatory matters. The ideal candidate will have a strong understanding of legal and compliance frameworks, excellent analytical skills, and a keen eye for detail.

Join our reputable law firm and contribute to our commitment to legal and regulatory compliance. As the Compliance Manager, you will play a vital role in upholding our ethical standards, protecting our reputation, and ensuring the firm's compliance with all relevant laws and regulations.

Responsibilities

Compliance Program Development

  • In conjunction with the COLP/COFA/MLRO, develop and implement an effective compliance program to ensure adherence to legal and regulatory requirements.
  • Stay up to date with changes in laws, regulations, and industry best practices, and assess their impact on the firm.
  • Design and deliver training programs to educate employees on compliance policies and procedures.
  • Monitor compliance metrics and develop reports to track the effectiveness of the compliance program.

Regulatory Compliance

  • Conduct regular reviews of the firm's activities to ensure compliance with relevant laws and regulations, including SRA Standards and Regulations, anti-money laundering (AML), data privacy, and other relevant regulations.
  • Monitor changes in laws and regulations, assess their impact on the firm, and recommend necessary actions to maintain compliance.
  • Develop and maintain policies and procedures to address regulatory requirements and promote a culture of compliance.
  • Collaborate with internal stakeholders to ensure compliance with professional ethics and standards.

Internal Audits and Investigations

  • Conduct periodic internal audits to assess compliance with policies, procedures, and regulatory requirements.
  • Identify potential compliance issues and irregularities and initiate appropriate investigations.
  • Document audit findings and recommendations and report them to senior management.
  • Develop corrective action plans and monitor their implementation to address identified compliance deficiencies.

Risk Assessment and Mitigation

  • Conduct firm-wide risk assessments to identify potential compliance risks and vulnerabilities.
  • Develop risk mitigation strategies and controls to minimize the firm's exposure to legal and regulatory risks.
  • Provide guidance to the firm's lawyers and other members of staff on compliance-related matters and potential risks.
  • Stay informed about emerging compliance trends, issues, and best practices to enhance the firm's risk management efforts.

Claims and complaints

  • Assist the COLP to manage any claims and complaints from clients and third parties as to matters of conduct, allegations of negligence etc including any internal investigations into the circumstances giving rise to claims and complaints.
  • Report claims and circumstances to insurers.

Insurance

  • Help manage the firm's relationship with its PI insurers.
  • Assist the Operations Director with the preparation of renewal forms.

Compliance Reporting and Documentation

  • Prepare and submit required compliance reports and returns to regulatory authorities.
  • Work with the firm's auditors on its SRA audit.
  • Maintain accurate and up-to-date records, including compliance policies, procedures, and training documentation.
  • Monitor and ensure compliance with record-keeping requirements.
  • Assist in responding to regulatory inquiries and examinations as necessary.

Requirements

  • Qualified Solicitor in England & Wales or a Bachelor's degree in Law, Business Administration, or a related field.
  • Proven experience (4+ years) as a Compliance Manager/professional within a reputable law firm.
  • Strong knowledge of legal and regulatory frameworks, including SRA Standards and Regulations, AML, data privacy, and professional ethics.
  • Familiarity with relevant laws and regulations in the legal industry (e.g. legal professional rules, legal professional privilege).
  • Excellent analytical and problem-solving skills with exceptional attention to detail.
  • Ability to interpret complex legal and regulatory requirements and provide practical guidance to stakeholders.
  • Strong communication and interpersonal skills to effectively collaborate with diverse stakeholders.
  • Ability to handle sensitive and confidential information with the utmost discretion.
    Professional certifications in compliance (e.g., Certified Compliance and Ethics Professional) are a plus.
#J-18808-Ljbffr

  • Risk and Compliance Lawyer

    1 week ago

    Cardiff, Cardiff, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionAre you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in...

  • Compliance Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom Admiral Group Plc Full time

    Senior Group Compliance Assurance Manager The Senior Group Compliance Assurance Manager is a group wide role reporting to the Group Head of Compliance providing oversight and challenge over Compliance activity across the Admiral Group. The role is both to ensure oversight of delivery of the Annual Group Compliance Monitoring Plan, providing assurance to...

  • Compliance Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom QED Legal Full time

    Compliance ManagerCardiff-BasedWe are partnering with an outstanding Legal 500 company that has multiple offices throughout the United Kingdom. Founded by former Eversheds and Clifford Chance Lawyers, this company is dedicated to offering top-notch legal services across various commercial sectors. Currently, they are in search of an individual to collaborate...

  • Compliance Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom QED Legal LLP Full time £65,000

    Compliance Manager - Deputy COLP/MLRO Cardiff-Based We're collaborating with a remarkable Legal 500 organization with presence throughout the UK. Established by former Eversheds and Clifford Chance Lawyers, their focus is on delivering top-notch legal services, encompassing all commercial sectors. Presently seeking an individual to collaborate closely with...

  • Compliance Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom Eames Consulting Full time

    Leading global speciality insurer is seeking an experienced Compliance Manager to manage their KYC/CDD framework and process and a small team.Key Responsibilities: To review and develop the Broker Oversight Framework adopting a best practice, consistent and collaborative approach across the Companies. To ensure that those ToBAs issued to brokers for signoff...

  • Compliance Manager

    3 weeks ago

    Cardiff, Cardiff, United Kingdom QED Legal Full time

    Compliance ManagerCardiff-BasedWe're working with an exceptional Legal 500 firm with offices across the UK. They are driven to provide the best legal services. Founded by ex Eversheds and Clifford Chance Lawyers they cover all commercial areas.Now looking for someone to work closely with the COLP/COFA/MLRO to ensure the firm continue to work in the correct...

  • Compliance Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom qed legal Full time

    Compliance Manager - Cardiff-Based We are collaborating with an outstanding Legal 500 firm that has a presence in various locations throughout the UK. This firm is dedicated to offering top-notch legal services. Established by former professionals from Eversheds and Clifford Chance, they specialize in various commercial sectors. Collaborate closely with the...

  • Compliance Manager

    4 weeks ago

    Cardiff, Cardiff, United Kingdom QED Legal Full time

    Compliance ManagerCardiff-BasedWe're working with an exceptional Legal 500 firm with offices across the UK. They are driven to provide the best legal services. Founded by ex Eversheds and Clifford Chance Lawyers they cover all commercial areas.Now looking for someone to work closely with the COLP/COFA/MLRO to ensure the firm continue to work in the correct...

  • Compliance Manager

    3 weeks ago

    Cardiff, Cardiff County, United Kingdom Zest Recruitment & Consultancy LLP Full time

    Zest Recruitment and Legal Consultancy have a rare opportunity for a Compliance Manager to join a reputable law firm and contribute to the firms commitment to legal and regulatory compliance. The Firm are offering the role on a part time basis and can be based in Cardiff or Bristol (hybrid). As the Compliance Manager, you will play a vital role in upholding...

  • Compliance Support Manager

    1 week ago

    Cardiff, Cardiff, United Kingdom Finlink Ltd Full time

    An excellent opportunity for an individual looking to join an Independent Financial Advisory Network as a Compliance support Manager.This is your opportunity to join financially secure and growing business in an exciting time of growth. The firm has been operating as an FCA-regulated IFA Network since 2002. They have over 20 years experience supporting...

  • New Risk and Compliance Manager

    1 month ago

    Cardiff, Cardiff, United Kingdom TSR Legal Full time

    Our client are a progressive, award winning, national Law Firm with offices across the country. Due to the growth of the firm, they have an excellent opportunity for a legal Risk and Compliance professional / Solicitor to join them and help enhance their processes, embed a compliance culture and reduce risk across all areas of the business.This is an...

  • Compliance Officer

    1 week ago

    Cardiff, Cardiff, United Kingdom Quantum Group Full time

    We are inviting applications for compliance officer position for an international bank based in city London . This is a 6 months contract to start immediately.Key Responsibilities:Performing Compliance Risk AssessmentsSecond line oversight of the Bank's compliance with the applicable law, regulations and internal policiesDeveloping and implementing a...

  • Compliance Executive

    1 week ago

    Cardiff, Cardiff, United Kingdom Admiral Full time

    Closing date05/07/2024An opportunity has arisen in Admiral Money for a Compliance Executive to join us on a 12-month fixed term basisAbout Admiral MoneyAdmiral Money is an exciting division of Admiral Group, focused on meeting customers' lending needs.The journey started when we launched unsecured personal loans in June 2017. We went on to be the first...

  • Compliance Executive

    1 week ago

    Cardiff, Cardiff, United Kingdom Admiral Full time

    This role is based in GibraltarAdmiral Insurance Gibraltar Limited is looking to fill a new role in a busy office, based in Gibraltar. This role will report to the Head of Group Compliance and local General Manager. There is a Group Compliance function set up in the UK and this role would help supplement the requirements of the Gibraltar office.The role...

  • Facilities and Compliance Manager in Cardiff

    2 months ago

    Cardiff, Cardiff, United Kingdom NHS Wales Shared Services Partnership Full time

    An exciting opportunity has arisen within NHS Wales Shared Services Partnership, Procurement department based in Denbigh Regional Stores, North Wales. The successful applicant will join the team to provide day to day management of the facilities and compliance at Denbigh Regional Stores to the Supply Chain, Logistics and Transport Team based in Denbigh and...

  • Facilities and Compliance Manager in Cardiff

    3 weeks ago

    Cardiff, Cardiff, United Kingdom NHS Wales Shared Services Partnership Full time

    An exciting opportunity has arisen within NHS Wales Shared Services Partnership, Procurement department based in Denbigh Regional Stores, North Wales. The successful applicant will join the team to provide day to day management of the facilities and compliance at Denbigh Regional Stores to the Supply Chain, Logistics and Transport Team based in Denbigh and...

  • Compliance Associate

    1 week ago

    Cardiff, Cardiff, United Kingdom Jomo People Ltd Full time

    Are you an experienced compliance associate (with a background in mortgage / protection insurance compliance) who is looking for a new job? Somewhere a bit different? A five star, award winning, FinTech company that is serious about getting the best deal for customers and is set on redefining the future of the mortgage industry?We're working with a Cardiff...

  • Compliance Manager

    4 weeks ago

    Cardiff, Cardiff, Cardiff County, United Kingdom QED Legal Full time

    Compliance ManagerCardiff-Based We're working with an exceptional Legal 500 firm with offices across the UK. They are driven to provide the best legal services. Founded by ex Eversheds and Clifford Chance Lawyers they cover all commercial areas. Now looking for someone to work closely with the COLP/COFA/MLRO to ensure the firm continue to work in...

  • Compliance Manager

    4 weeks ago

    Cardiff, Cardiff, Cardiff County, United Kingdom QED Legal Full time

    Compliance Manager - Deputy COLP/MLROCardiff-Based 1/2 days a week in office We're working with an exceptional Legal 500 firm with offices across the UK. They are driven to provide the best legal services. Founded by ex Eversheds and Clifford Chance Lawyers they cover all commercial areas. Now looking for someone to work closely with the...

  • Compliance Manager

    3 weeks ago

    Cardiff, Cardiff, Cardiff County, United Kingdom QED Legal Full time

    Compliance ManagerCardiff-Based We're working with an exceptional Legal 500 firm with offices across the UK. They are driven to provide the best legal services. Founded by ex Eversheds and Clifford Chance Lawyers they cover all commercial areas. Now looking for someone to work closely with the COLP/COFA/MLRO to ensure the firm continue to work in...