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EXCLUSIVE: LAW FIRM HEAD OF COMPLIANCE - LEGAL PRACTICE COMPLIANCE EXPERIENCE REQUIRED

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

EXCLUSIVE: LAW FIRM HEAD OF COMPLIANCE – LEGAL PRACTICE COMPLIANCE EXPERIENCE REQUIRED Ref: 3987D£80K -£120K + benefits & bonusHybrid (City of London)We are exclusively recruiting for our client, a leading law practise, now looking for their first ever full time Head of Compliance to develop their new department. Reporting to the COO, liaising closely with the COLP and managing a small team, duties willinclude;

  • ensure compliance with the terms and conditions of the firms authorisation;
  • ensure that a prompt report is made to the SRA of any serious breach of the terms and conditions of the firms authorisation or the regulatory arrangements which apply to the firm, managers or employees;
  • maintain a register of breaches of regulatory arrangements and notify the SRA on an annual basis of any non-material breaches;
  • assist in resolving any conflicts issues
  • act as the firm’s money laundering reporting officer; maintaining and updating the firm’s AML policies, controls and procedures; maintaining and updating the firm wide risk assessment; reporting to the partnership board in accordance with guidance
  • Assist in complicated or high risk client onboarding and third party audit programme.
  • Maintaining a register of gifts, gift reporting and approval, maintaining and updating the firm’s anti-bribery policies;
  • Maintaining and updating the firm’s Sanctions policy and risk assessment; responsible for Sanctions reporting to OFSI; advising the business on Sanctions issues for suppliers eg payment services;
  • Advising the business on use of the client account
  • Reviewing risks in the Risk register
You must have Law firm Compliance experience including AML & Conflicts and be willing to pick up other areas. You should be able to manage your own workload and have the confidence to supervise a team of three although prior supervisory experience not required,so may suit someone looking for their first senior role.Great opportunity to join a friendly forward thinking firm in this newly created role and make it your own. NB the role is hybrid including 3d pw in the office (pleasant modern building in the heart of the City of London)So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under nocircumstances are your details ever passed on without your specific permission).Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application,all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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