Compliance Manager | St Albans | £40k-£70k


This is a new role with the opportunity to implement policy & practices, offering high levels of autonomy & ownership.

Salary: Compliance background £40k - £60k, according to experience OR £55-£70k PQE Solicitor 5 years+ with relevant experience

Key responsibilities
Activities will be varied and will include, but are not limited to the following:

Support, policy and guidance

  • Providing support to the Complaints partner in handling complex complaints from clients and the PII partner

  • Support and advise PSG and Partners on fraud and regulatory risk (including Anti Money Laundering and Terrorist Financing Regulations, SRA Code of Conduct, Solicitors Accounts Rules, Financial Services Regulation and GDPR) and compliance issues that are relevant to their activities and projects

  • Pro-actively reviewing firm’s policies and procedures

  • Make recommendations for improvements to policies and procedures

  • Ensuring all risk management policies and procedures are implemented in a commercial manner

  • Analysing and reporting on the firm’s risk assessment data

  • Assisting in research in respect of any internal compliance failures


  • Organising monthly risk and GDPR meetings to include taking notes and recording actions agreed

  • Assist the Lexcel partner in organising and coordinating Lexcel audits


  • Assist the Senior Responsible Officers (SROs) with annual WIQS and CQS reaccreditation

  • Assist with the COLP with PII and the practising certificate renewal process

Record keeping

  • Update Lender exchange and other portals as appropriate

  • Maintaining the GDPR records

  • Maintaining the COLP records

File reviews

  • Keeping records of monthly file reviews

  • Ensuring corrective actions have been completed.

Money Laundering / Tax Evasion / Office of Financial Sanctions

  • Maintaining the MLRO records

  • Act as independent audit function to assess MLR practiced at the firm


  • Being the main contact for the ICO and ensuring that our annual renewal is processed

  • Being the main contact for any internal audits

  • Liaising with external consultants and bodies as appropriate

  • Monitoring the GDPR mail box on a regular basis and dealing with emails as appropriate

  • First point of contact for any internal compliance queries or issues

Process management

  • Processing data subject access requests (DSARs) as per the policy and liaising with the project group

  • Reporting any data breaches to the project group

  • Logging Data Protection Impact Assessments (DPIA)

  • Ensuring that all new suppliers and contracts are GDPR compliant


  • Undertaking compliance induction with all new joiners

  • In conjunction with HR and the COLP, put together an annual compliance training plan and implement this

  • Ensure all new starters undertake compliance training as part of their induction

  • Organising refresher training for existing staff as appropriate

Skills and attributes

  • A good understanding of the SRA Code of Conduct and general compliance issues in a law firm

  • Familiar with Lexcel requirements

  • Minimum of 4 years’ experience working in a compliance or risk management role. A shorter period of experience would be considered for a Solicitor with at least 5 years PQE, wishing to make a move into a compliance and risk management role

  • A commercial focus to achieving risk management goals

  • Highly organised with the ability to manage a workload

  • Capable of hands on problem solving

  • Ability to cope with competing demands and to prioritise tasks

  • Experience of policy drafting/ implementation and training

  • Excellent written and verbal communication skills

Due to the number of applications we often receive, only shortlisted candidates will be contacted

Posted: 16/04/2019