Compliance Solicitor / Executive

EC3M 6BL, London (Greater)
30 Aug 2023
27 Sep 2023
Contract Type
Full Time

Role: Compliance Solicitor / Executive

Leading law firm looking to recruit experienced Compliance Solicitor / Executive for highly sought permanent positon.

Gemini Recruitment are currently partnering with a large and established law firm. Our client serves corporate entities and private individuals in over 25 practice areas from offices throughout London and across England and Wales. Our client’s accomplishments are acknowledged and recommended in The Legal 500 and Chambers and Partners, as a top tier firm.

Our client holds the Investors in People Gold Accreditation Quality Standard Mark and is LEXCEL, Cyber Essentials Plus and ISO 27001-2013 accredited and regulated by the Solicitors Regulation Authority.

About the role:

Our client require an in-house Compliance Solicitor to join their Compliance Team to assist the Board of Directors with risk and compliance matters.

The Main responsibilities of the role will include:

  • Day to day handling of allocated regulatory risk and compliance matters as set out by relevant regulatory bodies such as, the SRA and the ICO.
  • Assisting with annual regulatory audits and renewal processes.
  • Assisting staff with case-related and insurance-related risk and compliance matters.
  • Day to day handling of compliance related central registers.
  • Reporting to the Management Board of Directors on risk and compliance.
  • Assist with the delivery of induction and probationary period training to new joiners on mandatory risk and compliance modules.
  • Training staff on risk and compliance updates.
  • Assisting in the file review process from a compliance perspective and supporting staff to ensure file reviews are completed.
  • Assisting in auditing of the company procedures and processes on risk and compliance
  • Assist with the handling and overseeing of complaints in accordance with the company’s complaint handling policy.

Key Skills Required:

The successful person will be expected to advise and assist on all risk and compliance issues across the company and carry out relevant staff training. Ideally, we are therefore looking for a Solicitor with a background in Risk and Compliance matters. Non-qualified lawyers with excellent credentials are invited to apply. It is important that the candidate has a strategic mind, is willing to work in a paperless environment and has a comprehensive understanding of the rules and regulations governing legal practice and specifically:

  • The Solicitors Regulation Authority (SRA) Standards and Regulations [StaRs]
  • SRA Code of Conduct for Firms and Code of Conduct for Solicitors.
  • Solicitors Accounts Rules
  • Anti-Money Laundering
  • Data Protection
  • Complaints
  • Risk assessment
  • Knowledge of Law Society Lexcel Standards is an advantage.

The successful candidate must be familiar with recent legislative changes.

The company is committed to Equal Opportunities and embraces diversity and inclusivity of its staff and strives to ensure that their workforce reflects the diversity of the communities they serve.

About Gemini Recruitment:

Gemini Recruitment is a leading recruitment agency specialising in legal recruitment. We provide a highly focused service specialising in placements for Solicitors, Legal Executives, Trainee Solicitors, Paralegals and Legal Support Staff. We have intimate knowledge of specific opportunities in the legal market across the UK.

The recruitment process will fully comply with GDPR and other applicable laws. Background checks including CRB / DBS checks will establish your eligibility to work in the UK and suitability to the role.

If this sounds of interest apply now for one of our agents to contact you.

By applying to this vacancy you give Gemini Recruitment Services Limited permission to submit your CV to the hiring company.