Compliance Officer for Legal Practice

2 weeks ago

Manchester Area, United Kingdom Clayton Legal - Legal Recruitment Specialists Full time

Job requirements

  • Must be a qualified solicitor of at least 6 years PQE.
  • 100% office based.

  • Must have had at least two years in a compliance role working in a legal practice dealing with:
  • Client complaints
  • KYC and money laundering procedures.
  • Overseeing and ensuring compliance of firms regulatory requirements to ensure firms ongoing SRA authorisation
  • Consideration of client care documentation and firm terms and conditions to ensure compliance with relevant rules
  • Understanding of transparency rules
  • Compliant advertising and lead generation.
  • Firm wide risk assessments.
  • In house regulatory training
  • Devising and implementing internal compliance failure reporting processes.


  • Preferred: some experience either working as or working alongside a COFA.


Characteristics

We are looking for a dynamic “people person” who is technically and legally astute and capable of problem solving and thinking outside the box to ensure the ongoing compliance health of the firm.

The person will be capable of delivering presentations to staff as well as providing comprehensive reporting to the Management Team of the Law firm. You should also be approachable and work well with others to create a collaborative and nurturing work environment.

Responsibilities

The successful candidate will be responsible for ensuring the overall compliance with the terms and conditions of the firms SRA authorisation.

The role will include a period of orientation and review where the candidate will review all firm documentation and update processes and procedures where required, as well as taking over maintenance of the central breaches register from the incumbent COLP.

Update where necessary all internal compliance policies and the overall Compliance Plan, incorporating any changes into the firms Quality Procedures Manual as well as being responsible for effectively disseminating such procedures on a firm-wide basis.

They will be responsible for keeping abreast of all regulatory and other compliance changes, training staff on compliance and client facing quality of service to ensure service levels are met.

Reporting directly with the firms Managing Director on matters of compliance and internal policy creation and providing regular reports on the status of the firms compliance arrangements. They will also oversee and sign off all lead generation and service advertisements to ensure all relevant SRA marketing requirements are met.

  • The above is not an exhaustive list and in the role of COLP you will be expected to have an understanding of other areas of compliance such as the firms training and CPD obligations, money laundering, data protection and solicitors accounts rules procedures.

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