Senior Compliance Manager

2021-06-23 18:53:422022-07-03 Elite Audit
Job Type Permanent Full Time
Location All locations Remote working
Area Midlands, UKNorth West, UKSouth Coast, UK Midlands UK All locations Remote working
Sector Compliance
Salary £75,000 + Bens
Start Date asap
Advertiser Rachael Terry
Telephone 07855 328980
Job Ref EA2021119
Specialism Financial Services
Senior Compliance Manager £75K + Bens
WFH and then office based either in Midlands, Southampton, Manchester, Northampton or Belfast as locations.
Elite Audit Recruitment are working with a highly regarded and leading UK law firm on this brand new role: Senior Compliance Manager to join the risk and compliance team. The department has grown significantly in size and organically. It is an exciting time to join the firm in which they have a very high reputation in gaining awards such as investors in people, values and culture.
The role:
Its aim is to ensure that the firm meets all of its regulatory and legislative objectives and ensure that risk management processes are embedded into the firm’s culture.
  • Reporting to the Director of Quality and Risk
  • First point of contact for potential conflicts pre inception
  • Liaise with the Central Inceptions Team, legal advisers, partners and Divisional Heads to advise and where possible resolve conflicts swiftly
  • Updating, designing and drafting effective policies and procedures
  • Reporting data from complaints & claims, DP and AML, CDD & inceptions and identify trends
  • Provide business critical regulatory and compliance advice
  • Oversight of HR’s returns to the SRA to register beneficial owner, officers and managers
  • Helping the firm to meets its regulatory and strategic objectives
  • Dealing with enquiries on all aspects of the SRA’s Code and from time to the Law Society of Scotland’s/Law Society of Northern Ireland Rules
  • Assisting in the rolling-out of quality and regulatory initiatives across the firm and handling of day to day quality and risk issues
  • Liaising with the SRA/LSS/LSNI and FCA where appropriate
  • Helping write/design regulatory/risk training courses and presenting when necessary across the offices
  • Producing risk management bulletins/newsletters/communications to the business
Being involved in Q&R projects either as a part of a team or individually to manage risk across the business
Skills Required:
  • Proven experience of working at a senior level within a risk and compliance environment in a large commercial law firm
  • Detailed knowledge of conflicts of interest in a commercial law firm and proven experience of resolving commercial conflicts
  • Detailed knowledge of SRA rules and legislation affecting solicitors., particularly on conflicts of interest
Strong stakeholder management skills and ability to influence and deliver excellent results in conjunction with the senior management of the Quality and Risk Directorate
Please apply with your CV to Rachael Terry at Elite Audit Recruitment for more information on this exciting new opportunity.
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