Compliance Officer

10 Jan 2022
07 Feb 2022
Theresa Lucas
Job Title
Practice Area
PQE Level
2-4, 5-7
Contract Type
Full Time

Compliance Officer, Shropshire (regular travel will be required to other sites), £Excellent (DOE). The firm is recognised by the leading UK legal directory, having been recommended in 14 categories in the 2022 edition of The Legal 500. 

As a key member of the Risk team the Compliance Officer will work across the Firm demonstrating the highest standards of compliance behaviour to raise awareness of regulatory requirements and compliance policies. Providing support for the Compliance Officer for Legal Practice (COLP) and the Compliance Officer for Finance & Administration (COFA). The post holder will ensure that all legal and compliance aspects of the firm are appropriately structured and discharged including policies, procedures and practices being regularly updated to maintain compliance.

To maintain up to date knowledge of all relevant legislation and regulations and have an oversight of regulatory compliance in all areas including but not limited to; Solicitors Regulation Authority (SRA), GDPR, Anti-Money Laundering, Insurance Distribution Directive. Further develop policies, procedures and practices to ensure that compliance is maintained as per best practice. To ensure that all policies and procedures remain fully compliant with legislation and regulations. Audit and review of files at all offices to include reporting on workflows and highlighting discrepancies and areas of noncompliance in accordance with procedure. Produce monthly compliance reports for the relevant regulatory oversight officers e.g. (COLP, COFA) including in relation to statutory and mandatory training. To prepare an annual report to the Management Board on the status of compliance within the firm. To undertake due diligence checks specifically in relation to GDPR on suppliers and 3rd party suppliers. The aforementioned duties and responsibilities are intended to represent current priorities and are not meant to be an exhaustive list. The post holder may from time to time be asked to undertake other reasonable duties and responsibilities. You will be a confident individual, able to maintain a professional image at all times A quick learner with the ability to understand the business and its functions. Calm under pressure, a team player with a can-do attitude with a high degree of flexibility and the ability to respond proactively.

This is a great place to work! The firm combines professional excellence with a family atmosphere which is the envy of many other law firms. With a dynamic and modern character the firm is focused on success and growth. This success and growth generates room for staff to mature and grow within the firm and enjoy stimulating and rewarding careers. The Partners are committed to supporting work life balance and all staff are provided with the opportunity for flexible working. Staff can bank time and use it at a suitable time to meet their personal needs. They are constantly looking to recruit the best people who are motivated, personable and committed to becoming part of their continued success.


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