The Compliance Director is responsible for leading, overseeing and embedding a robust compliance and risk management framework across the company. The role ensures that the company meets all its regulatory obligations, maintains strong governance and operates to the highest ethical and professional standards. The Compliance Director acts as a strategic adviser to the Board and senior management, proactively managing regulatory risk, safeguarding the companies reputation and supporting sustainable growth.
Key Responsibilities & Duties
1) Strategic Compliance Leadership
· Develop, implement, and continuously improve the firm’s compliance strategy in line with SRA
regulations and broader legal and regulatory requirements.
· Act as a trusted adviser to the Board and senior management on compliance, regulatory change, risk exposure, and governance matters.
· Monitor emerging regulatory trends and assess their impact on the firm’s operations and strategic objectives.
2) Regulatory Oversight and Assurance
· Oversee compliance with the SRA Standards and Regulations, including Codes of Conduct for Firms and Individuals.
· Provide effective second‑line oversight of:
* Conflicts of interest
* Client confidentiality
* Client care and complaints
* Financial crime prevention
* Information governance and data protection
· Act as (or closely support) the firm’s COLP and COFA, ensuring timely reporting of material breaches to the SRA.
· Manage regulatory inspections, audits, and enquiries, including responses and remediation plans.
3) Risk Management
· Own and maintain the firm‑wide risk management framework and risk register.
· Identify, assess, and mitigate operational, regulatory, reputational, and conduct risks.
· Chair or actively contribute to the firm’s Risk and Compliance Committee.
· Oversee internal audits and compliance monitoring programmes.
4) Financial Crime and AML
· Provide senior oversight of:
* Anti‑Money Laundering (AML)
* Counter‑Terrorist Financing (CTF)
* Sanctions compliance
· Work closely with the MLRO and relevant teams to ensure policies, procedures, and controls are effective and up to date.
· Ensure appropriate client due diligence (CDD), enhanced due diligence (EDD), and ongoing monitoring processes are in place.
5) Policies, Procedures and Training
· Draft, review, and maintain firm‑wide compliance policies and procedures.
· Ensure policies are practical, proportionate, and embedded into day‑to‑day operations.
· Design and oversee compliance training programmes for partners and staff, including induction, refresher training, and targeted risk‑based sessions.
· Promote a strong culture of ethical behaviour, accountability, and “speaking up”.
6) Data Protection and Information Governance
· Oversee compliance with UK GDPR and Data Protection Act 2018, working alongside the firm’s DPO where applicable.
· Ensure appropriate controls are in place for data security, retention, and breach management.
7) Stakeholder Management
· Act as the primary point of contact with regulators, external advisers, and auditors on compliance matters.
· Build strong relationships with partners and team leaders to support compliance ownership across the business.
· Provide clear, pragmatic guidance to fee‑earners on regulatory and ethical issues.
Required Skills & Qualifications
· Significant senior‑level compliance experience within a UK law firm or regulated professional services environment.
· Deep understanding of SRA regulatory requirements, professional conduct, and legal sector risk.
· Proven experience advising Boards or senior leadership teams on regulatory and governance matters.
· Strong knowledge of AML / financial crime frameworks and regulatory reporting obligations.
· Ability to balance regulatory rigour with commercial pragmatism.
· Excellent communication skills, with the confidence to challenge constructively at senior level.
Desirable: Experience acting as a COLP and/or COFA
Qualification
· Legal, compliance, risk, or regulatory qualification (e.g. Law degree, LPC/SQE background, ICA, ACAMS, or equivalent).
· Ongoing professional development in compliance, governance, and regulatory best practice