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Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: Leamington Spa
Salary: £28000 - £30000 per annum
Start Date: 2017-10-11 00:00:00
Duration: n/a
REF: KR-115
Contact Name: Kelly Reid
Contact Email:
Job Published: 5 months ago

Job Description

Compliance Manager – Warwickshire

Experience: Compliance Manager within a law firm environment   
Commutable from: Birmingham, Warwickshire, Coventry, Rugby, Solihull, Redditch, West Midlands
Salary: Circa £30,000
The company:
Our client is a full-service law firm, and one of the largest and longest-standing in the Warwickshire area. Their ethos is one of respect, with an emphasis being placed across the firm on the provision of superb client-care. An established and forward thinking firm offering interesting, challenging and rewarding career opportunities. They benefit from strong expertise in family and private client matters, medical negligence, personal injury, immigration, civil and commercial litigation, commercial property, conveyancing, criminal law and employment law. LEXCEL accredited and a member of the Law Society CQS panel.
The opportunity:
A brand new opportunity has arisen for a Compliance Manager in the Business Support Department, which is a key role in supporting the firm achieve its strategic aims. The successful candidate will work closely with the management team and enjoy a varied and challenging workload including attainment and maintenance of quality mark assessments including Lexcel and CQS; advising on regulatory change; developing best practice; advising on training and development; assisting with PII and practising certificate renewals and; monitoring compliance.
This is a varied role, which, by its nature will change and develop according to legislation, Law Society and SRA requirements and the needs of the firm.
You will be responsible for: 

  • Supporting the COLP and COFA with matters of regulatory compliance;
  • Develop, implement and review the policies and procedures of the practice to meet the strategic, regulatory and financial objectives of the Firm, under the guidance of the Operations and Finance Member;
  • Develop systems to monitor compliance with the Firm’s policies and procedures;
  • Overseeing with the HR Manager, Health and Safety and the review and development of policies and practices to minimise exposure to risk;
  • First Aider and co-ordination of ongoing training;
  • Fire Marshall and co-ordination of ongoing training;
  • Assistance to the Operations and Finance Member with renewal of the Firm’s annual PII insurance;
  • Assistance to the Operations and Finance Member with renewal of practising certificates;
  • Pro-active management and maintenance of training records;
  • Administration of compliance software and running training workshops for new starters and updaters. Currently, the Firm uses Vinciworks, Riliance and Tikit systems;
  • Training sessions on new regulations, policy and procedure;
  • Keep up to date with changes in legislation and risk management;
  • Meetings with Members to review progress, discuss major problems and re-appraise priorities;
  • Prepare and scheduling reports to Members;
  • Liaise with staff at all levels to ensure compliance with the Firm’s policies and procedures;
  • Undertake work required to gain and maintain conveyancing panel status with lenders;
  • Manage the complaints procedure, establishing accountability and ensuring effective resolution;
  • Point of contact for LEXCEL and other accreditations.

The particulars:
Ideal Candidate Criteria:

  • At least 3 years’ experience in a senior compliance role;
  • Experience and knowledge of Lexcel and CQS requirements;
  • Full knowledge and experience of the SRA Accounts Rules;
  • Full knowledge and understanding of the SRA Code of Conduct;
  • Good working knowledge of Anti Money Laundering and financial crime Legislation;
  • Good understanding of cybersecurity risks and measures to mitigate risk;
  • Working knowledge of Data Protection Act and awareness of GDPR;
  • Meticulous attention to detail;
  • Strong organisational skills and the ability to manage issues in multiple locations;
  • IT literate – Office, Word, Excel, Outlook;
  • Excellent communication skills and efficient administrative skills;
  • Ability to work alone and in a team;
  • Maintaining confidentiality and professionalism in all dealings;
  • Excellent drafting and document production skills, preferably with experience of producing reports at senior management level;
  • Flexible approach and confidence liaising with colleagues across the Firm at all levels.

The next step:
To register your interest in this Compliance Manager vacancy, select the ‘APPLY NOW’ option. Alternatively, email Kelly at Realm Recruit.

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