Head of Risk and Compliance

4 weeks ago

Newcastle upon Tyne, United Kingdom NRG. Full time

Job Description

Job Title : Head of Risk and Compliance

Location: Newcastle

Our client is a prominent law firm situated in Newcastle upon Tyne, serving clients across the UK and internationally. Recognised for delivering premier, partner-led legal counsel coupled with unparalleled personalised service, they uphold an outstanding reputation. Their clientele ranges from large corporations to owner-operated businesses, healthcare professionals, leisure establishments, and rural enterprises.

Job Purpose:

To spearhead a culture of compliance within the firm, ensuring adherence to external regulatory mandates and internal policies. This role involves raising awareness and providing advisory support regarding regulatory aspects, ensuring compliance with Solicitors Regulation Authority (SRA) standards and statutory requirements.

Key Responsibilities:

  • Conduct risk assessments to gauge the level, significance, and scope of risk within the firm's operations.
  • Develop and refine a comprehensive risk and compliance framework, incorporating best practices.
  • Establish and maintain systems and controls for recording and reporting breaches, including notifying relevant authorities such as the SRA, Information Commissioner’s Office (ICO), or National Crime Agency (NCA) as necessary.
  • Provide guidance to the Compliance Officer for Legal Practice (COLP) on risk and compliance systems, implementing enhancements to risk management.
  • Oversee anti-money laundering policies and procedures, ensuring compliance across the firm.
  • Lead the annual Lexcel accreditation process, maintaining adherence to Law Society standards for practice management and client care.
  • Advise the Management Committee and COLP on risk and compliance implementation.
  • Investigate and report breaches and potential breaches promptly.
  • Serve as the primary point of contact for firm-related data protection inquiries and Subject Access Requests (SARs).
  • Investigate and recommend actions in response to client complaints.
  • Maintain a centralized reporting system for compliance breaches.
  • Offer guidance and recommendations for corrective actions and risk mitigation.
  • Manage relationships with regulatory bodies and oversee annual renewals.
  • Update and maintain all risk and compliance policies.
  • Assist in providing information in response to regulatory inquiries.
  • Ensure effective delivery of risk and compliance training.
  • Maintain current knowledge of relevant regulations and internal policies.
  • Manage Professional Indemnity Insurance (PII) and Cyber insurance renewals and claims.
  • Uphold the firm’s policies and procedures, including health and safety, IT, and equality.
  • Undertake other reasonable tasks as required within the office environment.

Knowledge and Experience:

  • Experience in a regulated environment within the professional services sector.
  • Preferable knowledge of data protection legislation and Anti-Money Laundering (AML) procedures.
  • Strong IT skills and judgment to balance commercial and compliance risks.
  • Ability to handle confidential matters with discretion.
  • Demonstrates professionalism and fosters supportive relationships.
  • Excellent communication, leadership, and organizational skills.
  • Capable of multitasking, managing time effectively, and remaining composed under pressure.
  • Collaborates effectively with partners and management to resolve client conflicts.
  • Makes sound commercial decisions and demonstrates resilience.

Additional Notes:

The duties outlined in this description are not exhaustive and may evolve according to the firm's requirements. Applications from candidates with relevant experience below the Head of Risk and Compliance level are also encouraged.

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