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COLP/Head of Compliance

4 months ago

London, Greater London, United Kingdom Jameson Legal Full time

This is a fantastic opportunity within a well-respected Legal 500 firm based in London, to enhance their existing risk and compliance function.

The company is looking for a Head of Compliance to assist the management committee in reaching its business goals, and potentially assuming the roles of COLP and MLCO.

This specialized firm has consistently been recognized as one of the top players in the industry, with a long-standing history of providing legal counsel to both high-net-worth individuals and a growing corporate clientele.

Job Responsibilities:
  • Developing and implementing thorough risk mitigation strategies, processes, and frameworks to ensure regulatory compliance and safeguard the company from potential losses.
  • Analyzing changes in regulatory landscapes and providing suggestions on adjusting existing risk and compliance programs accordingly.
  • Serving as a subject matter expert on regulatory matters affecting the business, and offering advice to the partnership on risk and compliance issues.
  • Leading and supervising the Risk & Compliance team.
  • Establishing and upholding robust compliance initiatives, including developing policies and procedures, conducting training, and performing audits.
  • Collaborating with the IT & Facilities Manager to embed risk management and compliance procedures into the company's IT infrastructure.
  • Leading risk initiatives, ensuring proper scoping and execution - from implementing new policies to evaluating onboarding processes.
  • Acting as the company's COLP, maintaining contact with regulatory entities, and carrying out investigations.
  • Providing counsel to the company's COFA.
  • Cultivating a secure, supportive, and transparent environment concerning risk and compliance issues.
  • Proactively managing emerging risks and ensuring regulatory obligations are fulfilled as part of a robust risk management approach.
  • Serving as a point of contact for handling complaints.
  • Collaborating with the company's Data Protection Officer to guarantee legislative compliance.
  • Acting as the company's MLRO and MLCO, assuring adherence to mandated regulations.
  • Offering guidance on sanctions and ensuring compliance.
  • Supervising procurement activities within the Risk and Compliance team, covering supplier contracts and unique client terms.
  • Providing pertinent risk and compliance training, or organizing training sessions as needed.
Key Attributes:
  • Experience in a lead compliance role directly supporting the COLP or having prior COLP experience.
  • Qualified Lawyer (E&W qualified preferred).
  • Extensive background in working with the SRA Standards and Regulations.
  • Expertise in regulatory compliance within the legal sector.