Compliance Officer - Local Law Firm

QED Legal LLP; Bournemouth, Manchester; On-site; GBP 50,000 - 75,000; Full time

Job summary

A growing law firm in Bournemouth seeks a Compliance Manager to develop and lead their compliance framework. This unique role includes ensuring adherence to regulatory standards, policy development, and overseeing risk management processes, providing an excellent opportunity for an experienced compliance professional.

Qualifications

• In-depth knowledge of SRA regulations, AML legislation, and GDPR.
• Ability to interpret and apply complex regulations.
• Experience in delivering compliance training.

Responsibilities

• Ensure compliance with SRA Standards and AML regulations.
• Draft and enforce compliance policies and procedures.
• Oversee data protection and GDPR compliance.

Skills

Analytical skills

Problem-solving skills

Attention to detail

Communication skills

Education

Proven experience in a compliance role within a law firm

Job description

Job Title: Compliance Manager
Location: Onsite, Dorset
Job Type: Full-time (Part-time considered)

The Firm
We're working with awell-established, law firm delivering high-quality legal services. As we continue to grow, we are seeking a dedicated Compliance Manager to ensure we maintain regulatory excellence and robust risk management processes. With the increased pressure from the SRA they're keen to keep the firms compliance in line.

The Role
This is a newly created role, offering a unique opportunity for an experienced compliance professional to shape and lead the firm’s compliance framework. Reporting directly to the Compliance Officer for Legal Practice (COLP) and Money Laundering Reporting Officer (MLRO), you will be responsible for overseeing all areas of compliance, risk management, and regulatory adherence.

Key Responsibilities

• Regulatory Compliance: Ensure the firm’s compliance with the Solicitors Regulation Authority (SRA) Standards and Regulations, including the Code of Conduct and anti-money laundering (AML) obligations.
• Policy Development & Implementation: Draft, review, and enforce compliance policies, procedures, and best practices to meet legal and regulatory requirements.
• AML & Financial Crime Compliance: Act as the firm’s primary point of contact for AML compliance, ensuring adherence to AML regulations, conducting client due diligence (CDD) checks, and providing training on financial crime risks.
• Risk Management: Identify, assess, and mitigate compliance risks across the firm, maintaining risk registers and advising on best practices.
• Complaints & Investigations: Oversee the firm’s complaints handling process, liaising with clients, third parties, and the Legal Ombudsman where necessary.
• Lexcel & Accreditation Maintenance: Ensure ongoing compliance with Lexcel accreditation and other professional standards, preparing for audits and inspections.
• Training & Awareness: Deliver compliance training and updates to staff, ensuring awareness of regulatory changes and obligations.
• Data Protection & GDPR Compliance: Oversee data protection policies and practices to ensure compliance with GDPR and other relevant legislation.

About You

• Proven experience in a compliance role within a law firm.
• In-depth knowledge of SRA regulations, AML legislation, and GDPR.
• Strong analytical and problem-solving skills, with the ability to interpret and apply complex regulations.
• Excellent attention to detail and ability to manage confidential information with discretion.
• Effective communication and training skills, with the ability to engage with stakeholders at all levels.
• A proactive, self-motivated approach to compliance and risk management.

This is a great opportunity to join a growing law firm, workinng directly with the firms Co-Founders to build a strong robust compliance function.

Interested?