Job Description
A prestigious UK Law firm is looking for a Head of Compliance to join their team in their Southampton office.
The ideal candidate for the Head of Compliance role would have 5+ years PQE with strong knowledge of AML, the Codes of Conduct and the wider SRA regime.
Key Responsibilities for the Head of Compliance:
* Implementation and maintenance of risk and compliance policies, ensuring alignment across the business.
* Conduct and oversee internal audits, including file reviews, supervisory audits, and follow-up actions.
* Manage the firm’s breach reporting processes, including investigation, resolution, and preventative measures.
* Support tender and client audit responses, focusing on compliance requirements.
* Act as a key point of contact for queries relating to AML, anti-bribery, sanctions, and high-risk jurisdictions.
* Contribute to the development of file opening and matter acceptance procedures, including electronic PEP and sanctions screening.
* Provide advisory support on SRA compliance, Codes of Conduct, client confidentiality, conflicts, and liability limitations.
* Serve as a deputy to the MLRO (Money Laundering Reporting Officer), supporting in financial crime-related obligations.
Skills & Qualifications:
1. UK-q...