Compliance Director

1 week ago

Manchester, United Kingdom Douglas Scott Legal Recruitment Full time
Head of Compliance

Join Douglas Scott Legal Recruitment in this exciting opportunity to elevate your career in compliance within the legal sector. This role offers the chance to make a significant impact at a growing law firm, ensuring adherence to regulatory and compliance best practices.

Role Overview

The Head of Compliance will oversee the development, implementation, and enforcement of compliance policies and procedures. This pivotal role involves day-to-day compliance and risk management, covering onboarding, internal audits, policies, and more.

Key Responsibilities
  • Anti-Money Laundering (AML) & Client Due Diligence (CDD):
    • Research, identify, and verify new clients using compliance software.
    • Maintain the firm's AML database with up-to-date CDD information.
    • Advise and support on AML processes & best practices.
    • Conduct AML risk analysis on a range of clients.
    • Assist in ongoing monitoring and updating client due diligence records.
    • Provide guidance on non-standard situations.
  • Conflicts:
    • Review conflict checks, maintaining clear records and adherence to legal and regulatory requirements.
  • SRA:
    • Lead and coordinate SRA audits.
    • Build relationships with relevant contacts at the regulator.
    • Stay updated with new or changing guidance.
  • Risk Management:
    • Develop and update compliance policies and procedures.
    • Maintain a firm-wide risk register.
    • Conduct regular compliance risk assessments and file audits.
    • Identify potential compliance risks and recommend mitigation strategies.
    • Develop and implement action plans to address identified risks.
    • Manage the firmwide complaints process and documentation.
    • Liaise with insurance brokers on PI notifications as appropriate.
  • Training & Development:
    • Provide ongoing support and guidance to staff and develop mandatory training.
  • Monitoring and Reporting:
    • Conduct regular internal audits and investigations.
    • Prepare and present compliance reports to senior management and the board.
    • Track and report on compliance metrics and key performance indicators.
  • Documentation and Record-Keeping:
    • Maintain comprehensive records of compliance activities and findings.
    • Ensure proper documentation for compliance audits and regulatory reviews.
    • Manage and update compliance-related documentation and resources.
  • Collaboration:
    • Act as the primary point of contact for compliance-related inquiries.
    • Collaborate with legal, finance, and other departments to ensure firm-wide compliance.
Key Skills & Requirements

Minimum of 4 years' experience in AML within a UK law firm. Advanced understanding of KYC and AML regulatory obligations. Proficiency in AML compliance software. Strong communication skills and confidence with MS Office. Proficiency in Practice Management software. Experience dealing with the SRA.

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