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Head of Legal Practice and Compliance Officer

2 months ago


Norwich, Norfolk, United Kingdom Law Staff Legal Recruitment Full time

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