Head of Legal Practice

Role Summary
The Head of Legal Practice is a CLC-designated role with statutory accountability for the firm's compliance with all regulatory requirements. The HoLP is the primary point of contact between Alecto and the Council for Licensed Conveyancers, responsible for ensuring the practice delivers services in accordance with the CLC's Code of Conduct, Ethical Principles, and subsidiary regulatory codes.

Roles & Responsibilities

Regulatory Compliance & Risk Management

• Implement, monitor, and continuously review compliance processes and systems across the practice, including GDPR, AML/CTF, and all practice-wide policies
  
• Develop and maintain the firm's risk assessment framework, ensuring both practicelevel and matter-level risks are systematically identified and mitigated
  
• Ensure management arrangements, systems, and controls enable identification, assessment, monitoring, and management of risk appropriate to the nature, 
• scale, and complexity of the firm's activities
  
• Maintain proper records to evidence governance arrangements and controls, and how they are applied
  
• Promote ethical practice and compliance with regulatory requirements across the business

Supervision & Quality Assurance

• Supervise legal transactions and matters carried out by Authorised Persons and other staff to ensure compliance with CLC regulatory arrangements
  
• Oversee arrangements to ensure that Authorised Persons personally carry out or supervise all reserved legal activities
  
• Establish and maintain file review and quality audit processes to monitor compliance and service standards
  

Compliance Breach Management

• Maintain a comprehensive record of all compliance breaches, near-misses, and remedial actions taken
  
• Investigate compliance incidents, identify root causes, and implement corrective and preventive measures
  
• Report material breaches to the CLC as required under the Notification Code
  
• Enable staff to raise concerns through appropriate channels and ensure concerns are acted upon appropriately

Conflicts of Interest & Independence

• Implement and oversee policies and procedures for preventing and dealing with conflicts of interest across all matters
• Ensure compliance with the Acting for Lenders Code and requirements around acting on both sides of transactions

Complaints Handling

• Manage the firm's complaints-handling procedures in accordance with the CLC Complaints Code
  
• Ensure complaints are dealt with impartially, comprehensively, and within prescribed timeframes
  
• Analyse complaint trends to identify systemic issues and implement service improvements
  
• Liaise with the Legal Ombudsman as required and ensure timely responses to any enquiries

Regulatory Liaison & Reporting

• Act as the formal point of contact for the CLC on all compliance and regulatory matters
  
• Prepare and submit the annual regulatory returns
  
• Respond promptly and fully to CLC directions, requests, and regulatory enquiries
  
• Stay abreast of changes to CLC regulatory arrangements, the Risk Agenda, and relevant legislation, and ensure the firm adapts accordingly
  

Training & Competence

• Ensure all staff receive appropriate training on regulatory compliance, including AML/CTF, data protection, and the CLC Code of Conduct
• Oversee CPD compliance for all Authorised Persons and maintain records of training activities
  

AML/CTF Oversight

• Work as the firms MLRO to ensure AML/CTF policies, procedures, and controls are appropriate and effective
  
• Oversee regular reviews of the adequacy of AML/CTF arrangements and controls
  

Business Continuity

• Supervise business continuity planning to ensure the continuity of legal service provision in the event of an adverse situation
  
• Ensure arrangements are in place to source an appropriately skilled and qualified replacement HoLP within 28 days should the role become vacant
  

Professional Indemnity & Insurance

• Ensure the firm maintains compliant professional indemnity insurance meeting CLC minimum requirements
  
• Oversee accurate notification of claims and circumstances to insurers

Compensation & Benefits

• Salary: Competetive (DOE)
• Generous Bonus: (Up to 50% of base salary, paid semi-annually based on performance metrics)
• Pension: 5% employer contributions
  
• Health insurance: Comprehensive private medical cover including dental and optical
• Holiday: 25 days plus bank holidays

We pay competitively because we expect more. If you consistently exceed expectations, your compensation will reflect that.

Compensation & Benefits

• Salary: Competetive (DOE)
• Generous Bonus: (Up to 50% of base salary, paid semi-annually based on performance metrics)
• Pension: 5% employer contributions
  
• Health insurance: Comprehensive private medical cover including dental and optical
• Holiday: 25 days plus bank holidays