Head of Legal Compliance
4 weeks ago
Head of Legal Compliance
Jameson Legal is seeking a Head of Legal Compliance to oversee the compliance and risk functions within our Solicitors firm. As a qualified solicitor with previous experience in compliance and risk, you will be responsible for ensuring the firm's ongoing compliance with regulatory requirements and maintaining a risk-free environment.
The ideal candidate will have a strong understanding of compliance and risk management, with experience in client complaints, KYC and money laundering procedures, and regulatory requirements. You will be responsible for devising and implementing internal compliance failure reporting processes, conducting firm-wide risk assessments, and providing in-house regulatory training.
Responsibilities
- Ensure overall compliance with regulatory requirements and maintain a risk-free environment.
- Update internal compliance policies and procedures, incorporating changes into the firm's procedures, and disseminate such procedures firm-wide.
- Keep abreast of regulatory and compliance changes, train staff on compliance and client-facing quality of service to meet service levels.
- Report directly to the firm's Head of Conveyancing and Directors on compliance matters and internal policy creation, providing regular reports on the status of the firm's compliance arrangements.
- Oversee and sign off all lead generation and service advertisements to ensure compliance with regulatory requirements.
Requirements
- Must be a qualified solicitor, chartered legal executive, or licensed conveyancer with at least 6 years PQE.
- Hybrid working out of either the Norwich or Derby offices.
- Must have at least two years in a compliance role within a legal practice dealing with:
- Client complaints
- KYC and money laundering procedures
- Overseeing compliance with regulatory requirements to ensure ongoing SRA authorisation
- Client care documentation and firm terms and conditions compliance
- Understanding of transparency rules
- Compliant advertising and lead generation
- Firm-wide risk assessments
- In-house regulatory training
- Devising and implementing internal compliance failure reporting processes
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