Compliance Manager - Law Firm

My client is recruiting for a Compliance Manager to join their law firm in Edgbaston, Birmingham

My clients award-winning firm stands apart from other practices; they are incredibly entrepreneurial, creative and offer great flexibility to their staff. They have a family friendly feel throughout the practice, they invest heavily in their staff and due to continued growth; they can offer strong prospects.

Their approach to business and their clients has put them ahead of competitors. They have core values that define who they are, how they operate and the services they offer. Their success is down to their people and the strong relationship they have built with their clients.

Responsibilities

1. Establish a standardised approach for delivering and documenting operational services to ensure effective management and governance of Davisons Law compliance across all offices.
2. Ensure full compliance to AML regulations at all offices.
3. A main part of the role will be conducting and overseeing file reviews across all offices ensuring the quality, accuracy, and compliance of client files.
4. Provide accurate, regular updates and reports on compliance status to the senior management team, and timely updates on non-compliance issues.
5. Assist in managing escalated complaints with the Solicitors Regulation Authority (SRA) or Legal Ombudsman, serving as Liaison Officer during SRA inspections.
6. Advise fee earners on professional conduct matters, including conflicts of interest and ethical considerations.
7. Deliver training sessions on risk-related topics while staying informed about updates to professional conduct rules.
8. Conduct compliance audits for internal policies and contribute to developing risk management strategies.
9. Ensure letters and website changes comply with Law Society and SRA regulations.
10. Monitor adherence to the Solicitors Code of Conduct and support due diligence processes for mergers and acquisitions.
11. Deal with escalated complaints and work with the Complaints Manager.

Requirements

1. 2+ years’ experience in a management compliance role with at least 1 years’ experience within a law firm.
2. Experience in working to tight deadlines with high levels of accuracy.
3. Demonstrable experience of current regulations and guidelines as set out by the Solicitors Regulation Authority, Information Commissioners Office and National Crime Agency.
4. Excellent communication and interpersonal skills.
5. A confident telephone manner and ability to build rapport.

Benefits

1. Pension Scheme.
2. Health cash plan for workplace wellbeing.
3. Employee referral bonus.
4. Up to 33 days paid leave per year.
5. Christmas Shutdown.

Should you have any questions or wish to apply please do not hesitate to contact Clear Legal and Financial Recruitment.

Please Note: Due to the number of applications we receive we may be unable to respond to every application directly. If you have not heard from us within 3 working days, please assume your application has been unsuccessful.