DMH Stallard LLP
Risk & Compliance Manager
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The firm
DMH Stallard provides a comprehensive range of commercial, dispute resolution and litigation, employment, cyber security and cyber-crime, corporate, intellectual property, real estate and technology, media and telecoms advice to both businesses and individuals. Our clients, our people and our professional networks are the keys to our success.. With offices in London and across the region, including Brighton, Gatwick, Guildford, Horsham, and Hassocks - we’re proud to have grown to over 400 people.
Culture really matters to us. In our most recent staff survey, 99.6% of our people said DMH is a great place to work, with 90% feeling they have a strong work-life balance, and 93.9% expressing confidence in the leadership team.
We’re committed to building a genuinely inclusive and supportive workplace. Our Women in Law group meets quarterly, and we’re actively working toward gender balance at all levels. We already exceed the industry average, with 40% of our partners being women compared to the sector average at 29%.
We actively invest in learning and development at all career stages. Our mentoring programme is available to all partners, and we are preparing to launch an internal mentoring programme to support progression right up to partnership. We also recognise that work-life balance is essential to long-term success and wellbeing, and we promote hybrid working arrangements to help our people perform at their best inside and outside of work.
We’re also especially proud to achieve gold accreditation from Investors in People, which reflects our strong commitment to people development and leadership.
The department
This is an exciting opportunity for an experienced Risk and Compliance Manager to join our established team. Due to continued growth, we are recruiting an additional full-time Risk and Compliance Manager to work alongside the Head of Risk, two existing Risk and Compliance Managers, and an Assistant. This is a highly visible role requiring the promotion of risk and compliance across the firm, trusted advisory relationships with senior stakeholders, and close collaboration with the wider Risk team to develop and implement policies, procedures, and guidance.
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Role And Responsibilities
- Advise fee earners on professional conduct matters including conflicts of interest, ethics, the SRA Standards and Regulations, and the SRA Accounts Rules
- Monitor compliance with the Solicitors Code of Conduct, including introduction and referral arrangements and vetting of new schemes
- Horizon-scan legislative and regulatory developments, coordinate implementation across the firm, and update relevant stakeholders
- Manage actual and potential claims against the firm: liaise with professional indemnity insurers, conduct investigations, maintain records, and process payments and receipts on nominal accounts
- Investigate and coordinate responses to complaints, provide analysis and reports to the Management Team, and support the Head of Risk with complaints that escalate to the SRA or Legal Ombudsman
- Draft, review, and update risk management policies and procedures
- Conduct compliance audits of practice groups, provide feedback, and monitor matter-specific risk management plans
- Coordinate the firm’s Lexcel accreditation assessment and application
- Maintain Root Cause Analysis records in line with Law South Risk & Compliance Standards and complete Law South questionnaires and self-assessment audits
- Assist with the annual professional indemnity insurance renewal, liaise with Accounts on premium payments, and handle insurance-related queries from fee earners
- Work with IT, Finance, HR, and Office Services to maintain the firm’s Business Continuity Plan and report to the Management Team
- Attend and contribute to the firm’s Information Security Group meetings
- Deliver induction training for new joiners and ongoing training to the firm on risk-related matters
- Supervise and help develop the Risk and Compliance Assistant
- Contribute to senior management reports as require
- Support due diligence on potential mergers and acquisitions
- Collaborate with Marketing and Business Development to ensure compliance with Law Society guidance and SRA rules
- Assist Groups with file transfers, panel management and tender applications
- Review third party terms of business (e.g. lender panel agreements) on behalf of the firm
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Other information
Who Are We Looking For?
We’re looking for an experienced risk and compliance professional who thrives in a collaborative, fast-paced environment. You’ll be confident engaging with partners and staff at all levels, highly organised, and motivated by promoting a culture of compliance and continuous improvement across the firm.
Essential
- Proven mid-to-senior-level experience in risk and compliance within a law firm
- Detailed knowledge of the SRA Code of Conduct, SRA Accounts Rules, SRA Standards and Regulations, indemnity insurance rules, and the Legal Ombudsman scheme
- Strong understanding of professional indemnity insurance and general awareness of other insurance classes
- Excellent interpersonal and influencing skills; confident engaging with partners, staff at all levels, clients, and external bodies
- Highly organised and self-motivated with strong attention to detail and the ability to prioritise and remain calm under pressure
- Clear, effective written and verbal communication, including the ability to present complex subjects in accessible terms
- Strong analytical, investigative, and problem-solving abilities with good negotiating and drafting skills
- A collaborative, team-oriented approach with the ability to work autonomously and build trusted advisory relationships with senior stakeholders
Desirable
- Familiarity with risk management techniques and frameworks
- Awareness of Money Laundering legislation, Data Protection legislation, the Criminal Finances Act 2017, the Bribery Act 2010, and the Financial Services and Markets Act
- Training, presentation, and interviewing capability
- Ability to develop a good working relationship with regulatory bodies
- Proficiency in Microsoft Office applications
Benefits
- 25 days holiday (of which 3.5 are taken during the Christmas period), plus Birthday holiday, plus Bank Holidays.
- Buying Holiday Scheme
- Enhanced Maternity/Paternity Pay
- Life Assurance
- Private Healthcare
- Employee Assistance Programme
- Sodexo Discounts
- Pension Scheme
- Interest free season ticket loans
- Cycle to work scheme
- Discounts on Legal work
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