LAW FIRM COMPLIANCE MANAGER – QUALIFIED SOLICITOR WITH SOME PREVIOUS IN HOUSE COMPLIANCE EXPERIENCE
- Salary£60k - £70k Annually + Bonus & Generous Benefits
- LocationLondon, London
- SectorCompliance & Regulation, Legal
- PublishedJune 7th 2012
Our client, a middle-sized law firm, seeks a first ever senior compliance manager to take over day to day duties from a Partner. Duties will include;
- Ensure the firm accounts for and treats client money properly.
- Give guidance on anti-bribery and corruption issues
- Perform AML/sanctions and PEP checks ensuring compliance with new legislations to include AML risk assessment and reporting to the SOCA.
- Carry out and verify KYC/ and AML evidence for all types of entities, including trusts & funds.
- Develop training and guidance materials to support members on best practice approach to regulatory compliance.
- Manage the regulatory responsibilities and quality assurance accreditations of the firm to include Law Society Code of Conduct, Solicitors Accounts Rules, FSA Handbook relating to professional firms and internally developed standards.
- Work closely with departmental heads to manage internal file reviews for Solicitors Regulations Authority and Legal Services Commission audits.
- Create a Gap Analysis and Risk Register, to enable the firm to identify, manage and monitor risks to compliance, including issues on client service standards (e.g. conflicts, client engagement, supervision, undertakings) and effective business management.
- Responsible for complaints management.
You should be a qualified solicitor with 2 years PQE experience some of which must have been spent in a similar compliance role including good knowledge of AML/KYC requirements and SRA rules. Super opportunity to set up a proper function for the first time and run it yourself.
For further information or a confidential no obligation discussion, please feel free to call Rebecca Sinclair (LLB Hons) on 020 7330 6962 or send your details to her at firstname.lastname@example.org
Contact: Rebecca Sinclair Salisbury House, London Wall
Email: email@example.com London EC2M 5QQ
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