LR Legal Recruitment
Head of Risk & Compliance
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Role: Head of Risk & Compliance
Location: London
Salary: Up to £80,000 + benefits
Working Pattern: Full-time
The Opportunity
A well established and highly regarded London law firm is looking to appoint a Head of Risk & Compliance to take ownership of its risk and compliance function and work closely with the Partners on the firm's regulatory and governance framework.
This is a standalone senior appointment, providing significant autonomy and the opportunity to make a genuine impact across the business.
A key aspect of the role is the opportunity to progress towards taking on the firm's COLP responsibilities, making this an excellent opportunity for an experienced legal Risk & Compliance professional looking to take the next step in their career.
The Role
As Head of Risk & Compliance, you will have responsibility for overseeing and developing the firm's risk and compliance framework, ensuring the business operates in line with the relevant SRA requirements and regulatory obligations.
Working closely with the Partners, you will act as the firm's primary point of contact for risk and compliance matters and provide practical, commercially focused advice across the business.
Key Responsibilities
- Take ownership of the firm's overall risk and compliance framework.
- Advise Partners and fee earners on regulatory, risk and compliance matters.
- Monitor compliance with SRA Standards and Regulations.
- Develop and maintain the firm's risk register and risk management processes.
- Oversee AML and financial crime compliance, working alongside the firm's MLRO/AML functions.
- Manage client and matter risk, including conflicts, sanctions, PEPs and source of funds/wealth considerations.
- Conduct regular compliance monitoring and internal audits.
- Develop, review and implement firm wide policies and procedures.
- Monitor regulatory developments and ensure the firm responds appropriately to changes.
- Manage and investigate compliance breaches and incidents, escalating where appropriate.
- Support the firm's approach to complaints, professional indemnity insurance and regulatory reporting.
- Provide advice around GDPR, data protection and other relevant regulatory requirements.
- Deliver training and guidance to staff on risk and compliance matters.
- Prepare regular risk and compliance reports for the Partners.
- Work collaboratively with Finance, HR, IT and Operations to identify and mitigate business risks.
- Support the firm's wider governance and strategic objectives.
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Progression Towards COLP
The successful candidate will have the opportunity to develop into the firm's COLP, subject to the appropriate experience, regulatory requirements and an agreed transition with the Partners.
Over time, the role will involve increasing responsibility for the firm's regulatory compliance and governance, including ensuring that appropriate systems and controls are in place to meet the firm's obligations.
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This makes the position particularly suited to someone who is already operating at a senior Risk & Compliance level and is looking for a genuine pathway towards a COLP appointment.
About You
We are looking for an experienced Risk & Compliance professional with a strong understanding of the legal sector.
You will ideally have:
- Significant Risk & Compliance experience gained within a law firm or legal services environment.
- Strong knowledge of the SRA regulatory framework.
- Experience with AML, financial crime, risk management and regulatory compliance.
- Experience developing and implementing compliance policies, procedures and controls.
- Strong understanding of client onboarding, conflicts, sanctions, PEPs and source of funds/wealth.
- Experience conducting compliance monitoring, audits and risk assessments.
- The confidence to advise Partners and senior stakeholders.
- Excellent judgement and the ability to handle sensitive and complex matters independently.
- Strong communication and stakeholder management skills.
- The ability to operate as a standalone Risk & Compliance specialist.
- Ambition to progress towards a COLP position.
- Previous experience as a COLP, COLP deputy or senior legal compliance professional would be highly advantageous.
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