Risk and Compliance Advisor

TipTopJob; West Midlands; Hybrid; GBP 40,000 - 60,000; Full time

Benefits offered by this job

Hybrid working

Professional development

Job summary

TipTopJob is seeking a Risk and Compliance Advisor in the West Midlands to join a leading regional law firm's established risk and compliance function. This role supports regulatory standards across SRA obligations and wider legal and regulatory duties.

You will handle a varied caseload including policy reviews, compliance training, AML processes and data protection, providing clear guidance and escalating issues to senior stakeholders as needed. Hybrid working is offered.

Qualifications

• Experience in legal, risk, compliance, AML or regulatory environments.
• Good understanding of SRA regulations and data protection requirements.
• Ability to provide clear, practical guidance to colleagues and escalate appropriately.

Responsibilities

• Act as first point of contact for compliance queries across the firm and provide timely advice.
• Review and update policies and procedures and support compliance projects.
• Assist with compliance training and keep colleagues informed of regulatory developments.
• Manage regulatory matters including complaints, breaches, investigations, audits and file reviews.
• Prepare reports, identify gaps and escalate findings to senior stakeholders.
• Support AML processes including client due diligence, sanctions checks and monitoring.
• Assist with conflict checks and new matter opening procedures.
• Maintain accurate compliance records and documentation.
• Escalate regulatory or compliance concerns to the COLP, MLRO or Head of Standards and Ethics.

Skills

Regulatory compliance

AML / KYC

Data protection

Policy review

Regulatory investigations

Stakeholder communication

Job description

Risk and Compliance Advisor : West Midlands : Legal 500 Firm

A leading regional law firm is looking to appoint a Risk and Compliance Advisor to join its established Risk and Compliance function. This is an excellent opportunity for an experienced compliance professional with a background in legal compliance, risk, AML, regulatory or client due diligence to take on a varied role supporting the firm across a broad range of regulatory and risk matters : JOB REF:

Working closely with the COLP and Head of Standards and Ethics, you will play an important role in maintaining the firms regulatory standards and ensuring compliance with SRA requirements and wider legal and regulatory obligations.

The Role

The successful Risk and Compliance Advisor will be responsible for a varied caseload, including:

• Acting as a first point of contact for compliance queries across the firm and providing practical, timely advice.
• Reviewing and updating policies and procedures and supporting wider compliance projects.
• Assisting with compliance training and keeping colleagues informed of regulatory developments.
• Managing and supporting regulatory matters, including complaints, breaches, investigations, audits, file reviews and data subject access requests.
• Preparing reports, identifying compliance gaps and escalating key findings to senior stakeholders.
• Supporting AML processes, including client due diligence, sanctions checks and suspicious activity monitoring.
• Assisting with conflict checks and new matter opening procedures.
• Maintaining accurate compliance records, registers and documentation.
• Escalating potential regulatory or compliance concerns to the COLP, MLRO or Head of Standards and Ethics where appropriate.

The Candidate

Applications are invited from candidates with previous experience within a legal, risk, compliance, AML or regulatory environment.

You will ideally have a good understanding of SRA regulations, AML legislation and data protection requirements, together with excellent attention to detail and the confidence to provide clear and practical advice to colleagues.

You will be proactive and commercially aware, with the ability to identify potential risks and understand when matters require further investigation or escalation.

Strong communication and organisational skills are essential, as is the ability to build effective working relationships across a business.

Previous experience within a law firm would be advantageous, although candidates with relevant experience gained within another regulated or professional services environment may also be considered.

Whats on Offer?

This is a fantastic opportunity to join a progressive and well:established law firm where you will have the opportunity to develop your career within a supportive Risk and Compliance function.

The firm offers hybrid working, alongside a competitive benefits package and a genuine commitment to employee development, wellbeing and work:life balance.

eNL will never share your CV with a third party without your express permission. As part of our candidate care process, we aim to respond to all applications within seven days. If you have not been contacted within this timescale, your application has been unsuccessful on this occasion.

Please note that our advertisements use PQE and salary levels purely as a guide.

At eNL we value diversity and inclusion. We want to attract people at all levels and encourage applications from all suitably qualified candidates whatever their ethnicity, religion, age, physical or mental disability, sexual orientation, gender identity or any characteristics protected by law in the jurisdictions in which we operate.