Risk and Best Practice Manager
2 weeks ago
Location; Midland Bridge House, Bath This is a permanent, full time vacancy that will close in 10 days at 23:59 GMT. The Vacancy We are currently recruiting for a Risk and Best Practice Manager to join our Bath or Oxford office. The role will include management of the firm’s Risk and Compliance arrangements, including its policies and procedures, and providing advice on compliance and regulatory matters to partners and staff. Duties will include:
- Assist the Director of Risk and Best Practice and Senior Risk Lawyer in promoting and embedding a culture of compliance within RWK Goodman and ensure everyone is aware of their risk and compliance responsibilities
- As a line manager, be the escalation point for risk and compliance queries including those arising out of the risk inbox and through the client and matter inception process. Providing coaching to other members of the team
- Produce concise, professional, policies, bulletins, communications and training materials to improve risk and compliance knowledge across the firm; assist with the firm’s compliance training programme
- Provide technical advice on a broad range of risk and compliance matters, including but not limited to: anti-money laundering and client due diligence, data protection and information security, conflicts of interests and confidentiality issues, fee sharing and referral arrangements, Insurance Distribution Directive, Legal Aid Agency queries, Lexcel queries, and professional ethics queries
- Lead and manage compliance and best practice projects to improve compliance across the firm
- Work closely with departments to understand their commercial needs and ambitions and provide guidance on any compliance implications
- Assist with the management of the compliance policy portfolio and ensure all policies and reviewed regularly and training provided
- Assist the Director of Risk and Best Practice and Senior Risk Lawyer with the creation of KPIs and performance metrics to report on the effectiveness of compliance controls to senior management committees and stakeholders; analyse root cause analysis of compliance breaches and make recommendations for improvement
- Carry out audits to assess compliance with policies and procedures and make recommendations for remedial action
- Assist with the firm’s Legal Aid Agency contracts, audits and associated administration
- Administer the ongoing maintenance of the firm’s compliance-related standards (currently Lexcel) and facilitate external audits
- Carry out any other ad-hoc duties as requested from time to time
- Experience of working in Risk and Compliance within a law firm
- Good working knowledge of the relevant laws, regulations and codes of conduct applicable to the operation of a law firm, including the SRA Standards and Regulations, Data Protection and Anti-Money laundering
- Knowledge of Legal Aid work and quality standards would be desirable
- Minimum degree-level education or equivalent – legal or compliance qualification preferred
- Managerial / coaching others experience is highly desirable
- Excellent communication and report-writing skills
- Analytical, numerate and good attention to detail
- Excellent organisation skills with the ability to prioritise effectively
- Client service focused
- Supportive and nurturing line manager
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