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Department: Compliance
Location: Derby, UK
Description
As our firm continues to grow and the regulatory landscape becomes increasingly complex, we are looking to recruit a Compliance Advisor to join our Compliance Team. This is an excellent opportunity for an experienced and proactive individual to play a key role in supporting the firm's compliance, risk management and regulatory obligations.
Reporting directly to the Compliance Manager, the successful candidate will provide practical compliance advice and guidance across the business, helping to ensure adherence to legal and regulatory requirements, industry standards, and internal policies. The role will involve managing the compliance inbox, triaging and responding to queries, supporting colleagues on compliance matters, coordinating complaints, investigating breaches, handling data subject requests, and contributing to a wide range of compliance and risk initiatives.
We are seeking someone who is organised, solutions-focused and confident working in a fast-paced environment, with the ability to manage competing priorities and build effective relationships across the firm. This role offers the opportunity to make a meaningful contribution to the continued development of our compliance framework and culture.
This is a full-time position based from either our Derby or Leeds office. Standard working hours are 9:00am to 5:00pm, Monday to Friday. We offer a hybrid working arrangement, providing flexibility to work both from the office and remotely, subject to business and operational requirements.
Key Responsibilities
Business as Usual Compliance Activities
- Provide practical compliance advice and guidance to employees across the firm.
- Respond to and coordinate compliance notifications and enquiries, including regulatory queries, negligence claims, complaints, breaches, client tender requests and audit support activities, ensuring matters are actioned promptly and escalated where appropriate.
- Ensure BAU response templates and forms are maintained, regularly reviewed and kept accurate, up to date and aligned with current legal, regulatory and business requirement.
- Ensure internal and external key compliance dates are achieved.
- Maintain records and documentation.
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Policy Governance
- Review and update compliance policies.
Risk Management
- Identify and assess risks arising from compliance notifications, incidents and enquiries.
- Provide guidance to employees on risk mitigation and regulatory compliance.
- Escalate significant risks and issues where appropriate.
- Maintain and update the Compliance Risk Register.
Data Protection and Information Governance
- Provide guidance on data protection and privacy requirements.
- Investigate, document and support the resolution of data protection incidents and breaches.
- Handle responses to data subject rights requests.
Strategic Delivery and Continual Improvement
- Take ownership of allocated actions within the Compliance Team's Strategic Delivery Plan, driving implementation and supporting the delivery of initiatives that strengthen compliance processes, controls and governance across the firm.
Corporate Projects, Mergers and Acquisitions
- Support compliance activities associated with mergers, acquisitions and corporate projects.
Systems, Reporting and Analysis
- Analyse trends, recurring issues and emerging risks.
- Escalate significant findings and make recommendations for improvement.
- Support the development of reporting dashboards, metrics and compliance monitoring arrangements.
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General
- Contribute to the continued development of the firm's compliance framework and culture.
- Keep up to date with relevant legal, regulatory and industry developments.
- Undertake any other duties reasonably required within the scope of the role.
Skills, Knowledge And Expertise
- Experience in a complaints, compliance, risk, AML or regulatory role.
- Experience within a law firm or regulated environment is desirable.
- Strong organisational skills and ability to manage competing priorities.
- Excellent communication and stakeholder management skills.
- Good analytical and problem-solving abilities.
- High attention to detail and accuracy.
- Proficient in Microsoft Office applications.
- Able to work independently and use initiative.
- Knowledge of AML, data protection or SRA requirements is advantageous.
Please note: Compliance roles can vary significantly between organisations, and we recognise that candidates may not have experience across all aspects of the role. We are looking for individuals with the right attitude, aptitude and willingness to learn. Full training, support and development will be provided to help the successful candidate build their knowledge and succeed in the position.
Disclosure will be required in the event that a position is offered.
Benefits
- Competitive salary
- Bonus potential
- Career development opportunities
- 25 days holiday plus bank holidays
- Options to buy & sell 1 week’s holiday
- 1 week’s holiday carry over
- Extra day off for your birthday
- Employee discount scheme for local businesses
- Social days and evenings on the firm
- Staff discounts on legal services
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