Robert Walters
Compliance solicitor
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A leading law firm is seeking a Risk and Compliance Lawyer to join their dedicated team in Birmingham or Oxford. This full-time position offers the opportunity to play a pivotal role in safeguarding the business's legal, regulatory, and reputational interests. You will be part of a supportive environment where your expertise in compliance, risk management, and professional conduct will be valued and nurtured.
Responsibilities:
- Provide clear and practical legal guidance to colleagues on ethical, professional conduct, and compliance issues arising from client matters.
- Advise on conflicts of interest, confidentiality concerns, and the proper handling of privileged information to ensure adherence to regulatory standards.
- Work collaboratively with Finance teams to ensure compliance with Solicitors Accounts Rules and other relevant financial regulations.
- Identify, assess, and manage legal, regulatory, and compliance risks throughout the organisation while escalating issues when necessary.
- Support colleagues in understanding and applying regulatory obligations by offering accessible advice and training.
- Handle complaint calls sensitively and act as a dependable point of contact for colleagues and clients facing complex or challenging complaints.
- Conduct thorough file reviews and investigations to establish facts, identify areas of concern, and recommend improvements.
- Draft clear, accurate, and persuasive complaint response letters that address client concerns effectively.
- Liaise with Client Service Directors, colleagues, clients, and external regulators such as the Legal Ombudsman to resolve complaints efficiently.
- Investigate reported ethical violations or compliance breaches; assess findings; recommend corrective actions; prepare well-reasoned reports for internal or external stakeholders.
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Requirements:
- A qualified solicitor background with proven experience in litigation, regulatory work, professional conduct matters, or compliance within the legal sector.
- Strong investigative skills enabling you to analyse complex or sensitive issues objectively while maintaining attention to detail.
- Excellent written communication abilities allowing you to produce persuasive responses tailored appropriately for each situation.
- Confidence in providing clear advice while constructively challenging colleagues when necessary for the benefit of the organisation.
- Experience dealing with complaints handling, investigations into contentious issues, or regulatory matters requiring careful judgement.
- A deep understanding of professional conduct rules and regulatory obligations relevant to legal practice.
- Ability to manage multiple matters simultaneously within a busy environment without compromising quality or accuracy.
- Exceptional judgement especially when navigating confidential or potentially high-risk situations involving clients or colleagues.
- An empathetic approach combined with resilience when addressing difficult circumstances or sensitive topics.
- Strong interpersonal skills enabling you to build relationships across departments and communicate effectively with stakeholders at all levels.
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