Shoosmiths
Senior Compliance Manager
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The role
An exciting opportunity has arisen to join an established and well-regarded risk & ethics team in the legal sector as Senior Compliance Manager.
R&E supports all our offices/practice areas and enjoys a position at the heart of the business. Our aim is to ensure that the firm meets all its regulatory and legislative objectives and to ensure risk management processes are embedded into the firm’s culture whilst championing the commercial needs of our business.
The Senior Compliance Manager will collaborate closely with the firm’s Head of Risk and the Director of Risk (who also acts as the firm’s COLP, MLRO and MLCO) to embed a culture of professional practice and advise on a wide range of legal, regulatory and ethical issues impacting the firm.
The team
The Risk & Ethics Directorate (‘R&E’) is responsible for all areas of compliance and risk management for Shoosmiths including developing firmwide policies and procedures to ensure compliance with all legal and regulatory compliance requirements, and to promote best practice. The team is split between the Central Compliance Unit who are responsible for the onboarding of all clients/matters (including conflicts and AML), Risk Management, and Data Protection.
Main Responsibilities
- Work alongside our other Senior Managers and within the wider directorate to monitor and advise on a range of queries and escalations which may include anti-financial crime, conflicts, SRA/regulatory matters, data protection, supplier contracts, client terms, insurance, claims and complaints.
- Assisting the Head of Risk with horizon scanning for new legislative/regulatory requirements.
- Working closely with partners and advising on complex legal or commercial conflicts through to resolution.
- Assisting with review of complex anti-financial crime matters and reputational issues impacting the firm.
- Reviewing various contracts including client terms and supplier terms.
- Assisting the Head of Data Protection with DSAR requests when required.
- Assist with the implementation and updating of firmwide policies and procedures to ensure continued compliance with legal/regulatory obligations, and to mitigate key risks.
- To assist with the ongoing change management program within R&E to ensure operational efficiency and maintain the quality of advice to our internal clients.
- Provide business critical regulatory and compliance advice.
- Assisting in the rolling-out of various regulatory initiatives across the firm.
- Working on key firm projects including the introduction of a new onboarding system.
- Helping to write and design relevant training courses and presenting across the offices.
- Being involved in R&E projects either as a part of a team or individually to manage risk across the business.
This job description encompasses the main duties expected of the role but the successful candidate may be involved in all areas of risk management from time to time according to the needs of the directorate.
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Required
Skills and qualifications
- Proven experience of working at a mid to senior level within a risk and compliance environment in a commercial law firm
- Detailed knowledge and experience resolving complex conflict of interest issues.
- Detailed knowledge of SRA rules and legislation affecting solicitors
- Strong stakeholder management skills and ability to influence and deliver excellent results in conjunction with the rest of the R&E team.
Desirable
- Experience assisting with internal and external investigations, including responding to queries from The Legal Ombudsman, ICO, SRA or another appropriate regulator.
Personal Attributes
- A passion for risk & ethics including the commercial benefits compliance brings to a large organisation
- Energetic, self-motivated and with a can do attitude
- Exceptional interpersonal & communication skills both verbally and written able to communicate at all levels
- Proven ability to think independently and engage with and influence colleagues at all levels.
- Able to work in a fast-paced and demanding environment
- Focused on quality of output as well as speed of delivery
- Effective, inspiring and engaging presenter
- Able to assimilate large amounts of information extracting key information for high level reports
- Excellent attention to detail
- Strong analytical skills
- Demonstrates commercial acumen and a pragmatic attitude
The firm
Shoosmiths is the law firm clients choose for excellent service, incisive thinking and above all for our ability to focus on what matters. From offices across the UK and Brussels, we support some of the world’s most exciting and ambitious businesses; amazing clients making an impact. We empower our people to be their authentic selves and deliver together in supportive teams committed to excellence and innovation. The first top 50 law firm to achieve ‘Platinum Standard’ Investors in People, our values and culture are not just words on our website but are the heartbeat of the firm.
We have an outstanding benefits package to complement our competitive remuneration system. In addition to the competitive salaries, great working environment and high-quality work, we believe that all staff should be rewarded for their commitment to the continued success of the firm through a comprehensive and flexible range of benefits.
To discover more about our benefits, please visit: Benefits Package
Shoosmiths is proud to be a Disability Confident Employer. Disability Confident is a government scheme designed to encourage employers to recruit and retain disabled people and those with long term conditions. The Disability Confident scheme replaced the Two Ticks Positive about Disabled People scheme. We had been accredited as a two tick employer for many years - Disability Confident broadens and develops that original commitment, and demonstrates we have adopted a proactive approach to employing disabled people and developing their abilities.
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As part of our accreditation, we commit to interviewing any applicants with a disability who meet the essential criteria for each vacancy. In some circumstances we may only be able to interview those that best meet the essential criteria due to the volume of applications received.
Further information on the Disability Confident scheme is available at https://www.gov.uk/government/collections/disability-confident-campaign
We are committed to ensuring our recruitment process is inclusive and accessible to and usable by everyone. If you have a disability or long-term condition and would like to receive information in a different way, or need us to make any adjustments, changes or do anything differently during the recruitment process, please get in touch with the Talent Acquisition team on Experienced.Hire@shoosmiths.com. We can consider your needs and requirements, and how we can assist you to apply for our roles. For example we can provide a copy of our application via email so that you can complete it using your own accessibility software.
Background Checks [remove if not applicable]
Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted. These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years. Personal vetting credit search (which will only highlight Insolvency or County Court Judgements - Should any adverse data show on the Personal Vetting search them any offer of employment may be withdrawn). Terrorism check (against data supplied by the Bank of England) and a basic DBS check previously known as a Criminal Records check.
Equal opportunities
Our approach to our people is underpinned by our approach to diversity, inclusion and well-being. Our ambition is to build a diverse and ambitious workforce that reflects all backgrounds and talents, and a workplace that is supportive and inclusive, recognises and nurtures talent, and has a strong sense of community between colleagues.
This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.
If you’d like to learn more about this opportunity or have any questions, please don’t hesitate to contact the Warren Cooper at Warren.Cooper@shoosmiths.com
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