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Head of Legal Practice and Compliance Officer
2 months ago
About the Company
Our client is a leading Law Firm specializing in Conveyancing services, seeking a full-time Head of Legal Practice and Compliance Officer to join their team. Committed to providing clients with comprehensive home-moving services, having established partnerships with estate agents, surveyors, mortgage brokers, and home removal companies. They are expanding to include their own solicitors firm, completing their end-to-end service offering. Priding themselves on being at the pinnacle of technology, aiming to streamline the entire home-moving process with maximum efficiency.
About the Role
A qualified Solicitor, Chartered Legal Executive, or Licensed Conveyancer with at least 4 years PQE. Ideally, experience in a compliance-related capacity within a legal practice. Experience in:
- Handling client complaints
- KYC and money laundering procedures
- Overseeing regulatory compliance to maintain SRA authorization
- Reviewing client care documentation and firm terms and conditions
- Understanding of transparency rules
- Compliant advertising and lead generation
- Conducting firm-wide risk assessments
- Delivering in-house regulatory training
- Developing internal compliance failure reporting processes
Work Arrangement
A hybrid working arrangement, one day a week based out of either Norwich or Derby offices.
Ideal Candidate Profile
We are seeking a dynamic people person who is both technically and legally astute. The ideal candidate should be a Solicitor, CILEx, or CLC qualified with at least 4 years PQE. Capable of problem-solving and thinking outside the box. Skilled in delivering presentations to staff. Able to provide comprehensive reports to the Management Team. Approachable and collaborative, fostering a nurturing work environment.
Key Responsibilities
- Ensure overall compliance with the firm's CLC authorization terms and conditions
- Update and maintain internal compliance policies and the Compliance Plan
- Implement and communicate procedural changes across the firm
- Stay informed about regulatory and compliance changes
- Conduct staff training on compliance and client service quality
- Report directly to the Head of Conveyancing and Directors on compliance matters
- Provide regular status reports on the firm's compliance arrangements
- Oversee and approve all lead generation and service advertisements
- Understand and manage other compliance areas, including:
- Training and CPD obligations
- Money laundering prevention
- Data protection
- Solicitors accounts rules procedures
Equal Opportunity Statement