Head of Compliance

Perfect Katch
Warwick, UK
21 Apr 2019
16 Apr 2019
Contract Type
Level of qualification
Due to continued growth, our client, a professional services organisation, are seeking a Head of Compliance who will be responsible for ensuring quality assurance and embedding firm wide legal compliance with SRA, FCA, Ofcom, Lexcel, anti-money laundering regulations, data protection legislation and other key regulatory frameworks . This is a permanent full-time position and requires experience of working in this discipline within a law practice. Principle

Embed a culture of compliance and risk awareness within the firm. Manage and deliver against SRA, FCA, Lexcel & Ofcom quality and compliance standards. Review and update policies and procedures with the relevant rules/guidance/legislation. Assisting the Head of Risk and Compliance in providing urgent technical advice to staff on any compliance issues. Ensuring that monthly and quarterly audits are carried out. Conducting thematic audits to target areas of concern. Overseeing the delivery of the monthly compliance report. Working with Group Leaders/Team Leaders/ Supervisors to ensure there is effective supervision and monitoring of matters. Liaising with key stakeholders to ensure all information required by the Financial Conduct Authority is supplied within the set timescales. Ensuring risks are escalated to the Head of Risk and Compliance or the Money Laundering Reporting Officer when appropriate. Overseeing the handling of complaints and ensuring they are responded to within set timescales. Ensuring relevant breaches registers are maintained and that incidents are reported, monitored and controlled. Assisting the Data Protection Officer with responses in accordance to high standards with Data Protection. Driving forward improvements to processes to ensure that compliance supports the efficient delivery of services. Devising and delivering a training plan, regular bulletins and updates on key compliance issues. Ensuring that the impacts of legislative and regulatory changes are assessed and reported on. Attending team, compliance and risk meetings when required. Skills required:
• Experience working in firm wide compliance within a law firm is essential.
• Previous experience with SRA, FCA, OfCom, Lexcel and anti-money laundering regulations as well as data protection legislation.
• Experience in providing auditing, qualitative and quantitative reports.
• Ability to work flexibly and quickly to respond to risks and compliance queries as they arise.
• Confident communicator: excellent verbal and written communication skills.
• Excellent client relationship and people management skills.
• Strong interpersonal skills with an ability to influence at all levels.
• High attention to detail - organisational skills.
• Strong IT skills. This is a great opportunity for someone with a strong background in Legal Compliance to progress their career in a great company with an excellent reputation.If you think that you have the skills and experience relevant to this role, then we would love to hear from you In return, our client offers an excellent benefits package, including 25 days holiday (plus Bank Holidays) increasing to 30 with length of service, Training and Development, Pension, Private Medical Insurance, Life Assurance, Firm wide performance Bonus Scheme, Healthcare Cash Back Scheme including subsidised Gym membership, Sick Pay, Free onsite parking and staff cafĂ©. This role would particularly suit candidates living in Leamington Spa, Warwick, Kenilworth, Stratford upon Avon or Coventry. If you are already registered with Perfect Katch Ltd, then please contact us to discuss suitability for this position. Perfect Katch Ltd only operates in the UK and can only process applications from candidates who are currently eligible to live and work in the UK. We operate a strict equal opportunities policy. Perfect Katch Ltd acts as an employment agency for permanent recruitment as defined by the Conduct of Employment Agencies and Employment Business Regulations 2003.