Key Responsibilities
:
1. Assist in the development, implementation and monitoring of risk and compliance policies and procedures
2. Ensure compliance with SRA Standards and Regulations, AML legislation, GDPR, and other applicable requirements
3. Act as a central point of contact for compliance-related queries across the firm
4. Support the COLP and COFA functions, including regulatory reporting where required
5. Conduct file reviews and internal audits to ensure compliance with firm policies and regulatory standards
6. Maintain and update the firm’s risk register
7. Monitor AML, financial crime, and data protection risks, and provide appropriate guidance
8. Assist with complaints handling in line with regulatory obligations and internal procedures
9. Deliver training and compliance updates to staff across departments
10. Support the maintenance of quality standards such as Lexcel and/or CQS accreditation
11. Assist with incident management, including breach reporting and implementation of corrective actions
Candidate Requirements
12. Previous experience in a risk and compliance role within a law firm
13. Strong working knowledge of SRA regulatory requirements, AML regulations, and legal compliance frameworks
14. Good understanding of legal practice areas such as conveyancing, litigation, or private client (desirable)
15. Excellent attention to detail and organisational skills
16. Strong communication skills with the ability to engage effectively with fee earners and senior stakeholders
17. Competent IT skills, including familiarity with case management systems
18. A proactive and solutions-focused approach, with the ability to work independently
Key Competencies
19. Strong analytical and problem-solving skills
20. Ability to assess and manage risk effectively
21. Confident communicator with the ability to influence and advise
22. High level of professionalism, integrity, and discretion
23. Commercial awareness and understanding of law firm operations
Benefits
24. Competitive salary (dependent on experience)
25. Generous annual leave entitlement plus bank holidays
26. Additional leave over the Christmas period
27. Private healthcare (where applicable)
28. Ongoing training and professional development opportunities
29. Supportive and collaborative working environment
If this is of interest, please get in touch with Rory Brand at Simpson Judge today for a highly confidential chat.