A regional heavy-weight law firm is seeking a risk & compliance manager to join the offices in central Nottingham.
As the Risk & Compliance Manager at this Top 50 firm, you will support the Head of Risk & Compliance in identifying and managing the firm's regulatory compliance and professional risks. You will also have operational responsibility for the risk and compliance team.
The main focus of the role will be to evaluate the firm’s compliance in relation to the SRA Handbook, other relevant rules and legislation. This will include identifying and analysing risks and then assessing if internal compliance controls and policies are operating effectively. You will also be tasked with recommending ways to strengthen the internal risk structure.
You will provide support, education and training to increase risk awareness within the firm.
- operational matters within risk and compliance, including managing the individuals in the team and ensuring all processes are followed
- serving as a confidential point of contact for all staff to seek clarification on compliance matters
- conducting internal investigations of compliance issues
- performing an annual risk assessment on the key compliance areas, maintaining documentation of compliance activities and aid in the development of the firm’s compliance plan
- analysing the findings of internal audits and file review data to identify any risk management issues and internal control deficiencies
- preparing management reports regarding compliance operations and risks
- monitoring and considering the impact of regulatory and legislative changes to identify gaps in the firm’s compliance knowledge
- annually reviewing, developing and updating compliance policies, procedures, client retainer documentation and processes/systems
- managing the firm’s quality accreditations and liaising with external auditors
- working with the Head of Risk & Compliance to develop and deliver training programs
- maintaining an effective compliance communication program, including promoting the use of the Risk & Compliance Microsite
- providing input into business and strategic decisions from a compliance perspective, including providing support for tender applications
- being proactive in providing risk and compliance support to internal projects, such as the development of new IT systems, to ensure that regulatory responsibilities are met
- qualified solicitor/equivalent legal qualification or be able to demonstrate significant experience of working within a legal practice environment
- managing risk and compliance processes within the legal sector
- excellent knowledge and experience of the SRA and the regulatory framework, as well as associated rules and legislation
- practical experience of working to external quality standards accreditations (e.g. Lexcel, CQS and ISO 27001 or similar would be desirable)
- working with and developing regulatory policies, procedures and quality accreditations
- explain and advise succinctly on difficult and complex areas of regulatory compliance
- good IT skills with the ability to work with case management systems.
Please apply now for immediate consideration regarding this role based in Nottingham.
For more information about this role and to apply, please contact Nina Gibbs at G2 Legal on 0121 609 1069 or forward an up to date copy of your CV.
PQE, years of experience and salary levels are shown purely as a guide. We will consider applications from candidates that can demonstrate the skills or experience required for this role.