Compliance Manager

Job DescriptionCompliance Manager

Location: Edgbaston

Hours: Full time – Monday to Friday and office based

Salary: £30k - £45k DOE

 

We are delighted to confirm ACS is teaming up with a well established U.K firm that is currently expanding, and as a result, searching for an experienced compliance manager to support this process.

 

In this role, you will collaborate closely with Managers at all levels and across all areas of the organisation. Offering a diverse range of responsibilities, this position is ideal for someone with a proactive and positive mindset who is eager to help foster and embed a strong risk-aware culture.

 

Key Activities:

Key Responsibilities and Tasks:

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• Establish a standardised approach for delivering and documenting operational services to ensure effective management and governance of compliance across all offices.

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• Ensure full compliance to AML regulations at all offices.

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• Act as the primary contact for professional indemnity insurers, handling claims, maintaining records, and conducting investigations.

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• Oversee safety management in alignment with established policies.

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• Provide accurate, regular updates and reports on compliance status to the senior management team, and timely updates on non-compliance issues.

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• Assist in managing escalated complaints with the Solicitors Regulation Authority (SRA) or Legal Ombudsman, serving as Liaison Officer during SRA inspections.

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• Advise earners on professional conduct matters, including conflicts of interest and ethical considerations.

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• Collaborate with Group Heads to identify areas of improvement, strengthen practices, and enhance the firm's risk profile.

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• Deliver training sessions on risk-related topics while staying informed about updates to professional conduct rules.

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• Conduct compliance audits for internal policies and contribute to developing risk management strategies.

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• Maintain the Confidential Register of Interests and coordinate the Lexel accreditation process.

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• Ensure letters and website changes comply with Law Society and SRA regulations.

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• Monitor adherence to the Solicitors Code of Conduct and support due diligence processes for mergers and acquisitions.

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• Train staff on revised policies and provide information.

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• Conduct File Reviews.

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• Assist staff with client files and address any queries

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• Supervise and train the Risk and Complaints Manager and Risk and Complaints Officer.

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Key Responsibilities and Tasks:

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• 3+ years’ experience in a management compliance role within legal services

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• Proven track record in developing and maintaining positive stakeholder relationships;

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• Demonstrable experience in working to tight deadlines with high levels of accuracy;

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• Demonstrable experience of current regulations and guidelines as set out by the Solicitors Regulation Authority, Information Commissioners Office and Crime Agency

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• Excellent communication and interpersonal skills

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• Confident telephone manner and ability to build rapport;.

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• demonstrated history of guiding a business towards adopting proactive risk and control management, enhancing operational quality and building operational resilience.

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