Job Description
Deputy Compliance Officer
As a forward-thinking and dynamic practice, we pride ourselves on delivering strategic legal solutions with a commercial mindset. Due to continued growth and an expanding regulatory environment, we are now seeking a Deputy Compliance Officer for Legal Practice (COLP) and Head of Legal Practice (HOLP) to help oversee the firm’s compliance with SRA and CLC regulations and play a key role in risk management. Ideally, the Deputy COLP and HOLP would run a small caseload of matters alongside their regulatory roles.
The Role
As a deputy COLP and HOLP, you will be assisting the COLP and HOLP ensuring that the firm complies with its professional and regulatory obligations under the SRA and CLC Standards and Regulations. Working closely with the senior management team and Partners, you will lead on all aspects of compliance, risk management, and regulatory reporting.
Key responsibilities
• Assist to monitor and ensure ongoing compliance with the SRA and CLC Standards and Regulations
• Act as the secondary point of contact for the SRA and CLC on all regulatory compliance matters
• Assist to manage and update internal compliance policies and procedures
• Help oversee and report on risk management frameworks and file audits
• Assist to manage internal and external audits, including SRA and CLC visits
• Help to ensure timely reporting of material breaches and complaints
• Assisting in delivering compliance training to legal and support staff
• To help support the MLRO and COFA where applicable
• Stay informed of changes to legal and regulatory requirements affecting the firm
Requirements
• Qualified Solicitor (England & Wales) with valid practising certificate
• Must meet the eligibility criteria for COLP as set out by the SRA and HOLP as set out by the CLC
• Minimum 2 years’ post-qualification experience, ideally in a regulated law firm
• Strong working knowledge of the SRA and CLC Standards and Regulations
• Prior experience in a COLP/HOLP or senior compliance role is highly desirable
• Excellent communication and leadership skills
• Proactive, pragmatic, and detail-oriented approach
Benefits
• Pension
• Parking
• Monday to Friday 9am – 5pm
• 20 days annual leave, plus Bank Holidays and Christmas closure
• Discretionary bonus
• Friendly working atmosphere
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