Compliance Officer for Legal Practice

4 days ago

Manchester, United Kingdom Johnson Law Group Full time
Job Title: Compliance Officer for Legal Practice

Johnson Law Group is seeking a highly skilled Compliance Officer for Legal Practice to join its team in Manchester.

Job Requirements:
  • Must be a qualified solicitor with at least 6 years of post-qualification experience.
  • 100% office-based role.
  • Must have at least two years of experience in a compliance role in a legal practice, with expertise in:
    • Client complaints
    • KYC and money laundering procedures
    • Overseeing and ensuring compliance with firm's regulatory requirements
    • Client care documentation and firm terms and conditions
    • Transparency rules
    • Compliant advertising and lead generation
    • Firm-wide risk assessments
    • In-house regulatory training
    • Devising and implementing internal compliance failure reporting processes
  • Preferred: some experience working as or alongside a COFA.
Characteristics:
  • A dynamic and approachable individual with strong technical and legal skills.
  • Capable of problem-solving and thinking outside the box to ensure the ongoing compliance health of the firm.
  • Excellent communication and presentation skills, with the ability to deliver presentations to staff and provide comprehensive reporting to the Management Team.
Responsibilities:
  • Ensure overall compliance with the terms and conditions of the firm's SRA authorisation.
  • Review and update firm documentation, processes, and procedures as required.
  • Take over maintenance of the central breaches register from the incumbent COLP.
  • Update internal compliance policies and the Compliance Plan, incorporating changes into the firm's Quality Procedures Manual.
  • Disseminate procedures on a firm-wide basis.
  • Keep abreast of regulatory and compliance changes, training staff on compliance and client-facing quality of service.
  • Report directly to the Managing Director on matters of compliance and internal policy creation.
  • Provide regular reports on the status of the firm's compliance arrangements.
  • Oversee and sign off all lead generation and service advertisements to ensure SRA marketing requirements are met.

The successful candidate will have a strong understanding of other areas of compliance, including firm training and CPD obligations, money laundering, data protection, and solicitors' accounts rules procedures.

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