Head of Compliance

2 months ago

Leamington Spa, United Kingdom Wright Hassall LLP Full time

Wright Hassall LLP

Full time

Permanent
- Wright Hassall are currently seeking to appoint an experienced and highly motivated individual to join the Firm as Head of Compliance.Reporting to the COLP, this role is responsible for managing the Compliance team’s effective delivery of the systems required to meet the Firm’s regulatory, corporate governance, complaints, claims, data protection and risk management obligations.- This role also provides support to each of the Regulatory role holders and requires the personal handling of complex issues.**Responsibilities**:

- All regulatory obligations of the Solicitors Regulation Authority and all other compliance requirements such as GDPR, AML and Sanctions are handled promptly and effectively in line with the relevant requirements.
- All complaints and claims are handled properly and effectively in accordance with the firms’ internal policies and the regulatory requirements.
- The optimum organisational structure is in place and ensuring the overall recruitment, retention, motivation, wellbeing and diversity of the team is maintained and developed in line with the Firm’s objectives.
- To work with the COLP and the other Regulatory role holders to maintain an effective risk-management system comprising appropriate systems, controls, policies and procedures necessary to identify, measure and report on a continuous basis the risks to which the firm is or could be exposed.
- To identify root cause issues and inefficiencies and recommend process improvement projects to deal with the findings and support the Firm
- To keep under review all legislative, regulatory and governance developments including GDPR and AML that affect decision-making or the firm’s operations and ensure that the Regulatory role holders and the firm are aware of changes.
- To have responsibility for the delivery of firmwide client onboarding processes including CDD / KYC checks, conflicts of interest, client and matter risk assessment. This includes the file opening activities to ensure that the processes work and are being provided in a timely and compliant manner.
- To act as the senior point of contact and escalation across the Firm for all conflict of interest, AML, GDPR and regulatory queries, supporting the fee earning teams in their delivery of client service.
- To provide education and training to build risk, compliance, GDPR and AML knowledge and awareness within the firm. This includes the capture of incident trends, feedback and market intelligence to ensure our business processes are effective.
- To foster and enable a culture of ‘continuous improvement’ on risk and compliance issues including the distribution of ad hoc firmwide guidance and communications when required.
- To take responsibility for coordinating and maintaining the Firms insurance requirements including professional indemnity, Directors and Officers, Cyber security and Management Liability Insurance.
- To arrange attendance at monthly Compliance Board meetings, and regular legal team meetings, to present emerging internal and external risks and to help to develop best practice activities.

**Person Specification**:

- Understanding of firm and risk management strategies
- Expert knowledge of several areas of compliance, regulations and risk management (e.g., SRA, FCA, AML, Data Protection)
- Leadership skills, Coaching & Mentoring
- Excellent Communication skills
- Developing processes based on trend analysis for continuous improvement
- Project Management
- Planning and process improvement skills
- Leadership experience
- Experience of developing strategy for risk management
- Experience of leading firm-wide initiatives

**Benefits**:
We offer a competitive salary and excellent benefits package, including 25 days annual leave (rising to 30 days), hybrid working, pension, bonus scheme, training and development, private medical insurance, life assurance, healthcare scheme, subsidised gym membership, on-site restaurant, childcare vouchers, and an active social committee.We are a 2023 Circle Back Initiative Employer - we commit to respond to every applicant- Wright Hassall are currently seeking to appoint a driven and experienced Head of Compliance.**Salary**
- Competitive

**Hours**
- 36.25

**Benefits

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