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Risk and Compliance Manager

2 months ago

Farnborough, United Kingdom Taylor Root Full time

Are you looking for your next challenge in your Compliance career? A Legal 500 ranked law firm based in Farnborough are seeking a diligent and experienced Compliance and Risk Manager to join their team.

The Compliance and Risk Manager will be responsible for ensuring that the firm adheres to all relevant laws, regulations, and internal policies, minimizing risk and maintaining reputation for excellence.

You will be responsible for managing and running all of the Firm’s operational compliance functions and will play a part in setting the plans and strategy for the Firm’s compliance functions moving forward. This is across the key spaces of SRA, FCA, money laundering, ICO and complaints management.

This is an award-winning team known for commitment to growth, fostering strong relationships and collaboration in everything they do.

Responsibilities:

  • Setting the plans and objectives for the compliance function.
  • Playing an active role in the strategy for the compliance function.
  • Evaluate risk levels, significance, and scope within the firm's compliance procedures, communicating findings to the Compliance Board.
  • Oversee and manage policies, systems, and controls related to compliance, promptly reporting breaches to regulatory bodies like the SRA and ICO.
  • Ensuring best in class compliance function.
  • Reducing or alleviating the compliance burden on to the fee-earning resources within the firm.
  • Advise the Compliance Board on implementing compliance measures.
  • Serve as the primary contact for data protection inquiries and Subject Access Requests.
  • Investigate and recommend actions in response to client complaints.
  • Provide guidance on corrective actions and risk mitigation strategies for policy, system, and personnel issues.
  • Working alongside the heads of department to identify and reduce risk factors.
  • Deliver effective risk and compliance training as needed.
  • Stay updated on relevant regulations and internal policies, including money laundering laws, GDPR, SRA Handbook, client service standards, anti-bribery measures, conflicts of interest, and client due diligence.
  • Conduct audits to ensure the firm remains compliant with statutory and regulatory requirements.
  • Collaborate with the Compliance Board and the firm’s insurers to address claims against the firm.
  • Manage and development of the compliance team.

Requirements:

  • A minimum of 5 years previous compliance experience within a law firm.
  • Strong communication and leadership skills, capable of influencing and building relationships across all levels.
  • A pedigree in being involved in and influencing strategy.