Compliance Manager – Southampton, Hampshire
We are looking for an experienced Risk & Compliance Manager ideally with at least 5 years experience, for our client who is a regional private practice law firm based in the Southampton area. The role will involve operational compliance activities including AML, GDPR, SRA, COLP compliance/ regulation. Knowledge of formal management systems including ISO, LEXCEL, CQS, SQM would be an advantage.
The jobholder will ideally be Solicitor or CILEx level and have worked in a UK law firm and have real passion for compliance areas and is looking for a long term career in it. You will be required to ensure all departments are compliant – so this is a great role for someone looking to get that level of responsibility and will undoubtedly be extremely challenging and fulfilling.
You will be responsible for compliance with professional standards (such as voluntary best practice) and internal standards. As a compliance professional, you’ll carry out the following responsibilities:
- Assisting staff with conduct questions (e.g. conflicts) and reporting;
- Assisting staff with AML questions and reporting;
- Assisting departments with panel/tender/similar information requests
- Complaints and claims management;
- Practicing certificate renewals;
- Review, monitoring and updates of firm’s policies & procedures;
- Performance of file verifications and associated follow ups;
- Compliance record keeping, monitoring and reporting;
- Running new starter compliance sessions and embedding good practice;
- Creation and delivery of bespoke compliance training for staff;
- Reviewing, monitoring and updating the firm’s compliance policies and procedures with in liaison with the Compliance Manager and other role holders within the firm’s compliance arrangements.
- Compliance audits; and general compliance awareness activities.
This is a superb opportunity to join a highly successful and well regarded law firm, the role will offer a competitive market rate salary and excellent benefits.
All applications will be reviewed in 2 working days and short-listed candidates contacted within that timeframe.