Senior Compliance Manager

A leading London-based law firm is seeking an experienced Senior Compliance Manager to join its established Risk & Information Security function.

You will play a key role in maintaining regulatory standards, supporting fee earners, and contributing to firm-wide risk initiatives.

Reporting into senior leadership within Risk & Compliance, you will be responsible for supporting core compliance programmes and providing expert guidance across the business.

Key Responsibilities

• Triaging conflicts issues and advising on SRA Code of Conduct requirements
• Supporting new client onboarding processes and use of onboarding systems
• Reviewing client complaints and supporting resolution processes
• Preparing correspondence and liaising with internal stakeholders and external bodies (including regulators and ombudsman services)
• Acting as a key point of contact for compliance queries across the firm
• Advising on professional standards, engagement terms, and regulatory obligations
• Drafting and updating internal policies (e.g. conflicts, AML, modern slavery, insider dealing)
• Supporting ISO standards compliance
• Conducting internal file reviews to ensure consistent application of standards
• Supporting risk and compliance projects and research initiatives
• Assisting with wider regulatory and operational risk programmes
• Managing document requests from clients and third parties (including regulatory and law enforcement bodies)

About You

• Qualified solicitor, barrister, or equivalent (or relevant experience within a law firm risk/compliance function)
• 4+ years' PQE or equivalent experience
• Strong working knowledge of the SRA Code of Conduct and regulatory framework
• Experience or understanding of:
  
  
  • AML, sanctions, and source of funds
  • Conflicts of interest
  • Data protection
• Excellent written and communication skills
• Confident dealing with senior stakeholders
• Highly organised with the ability to manage competing priorities

Interested? Apply now, or send your CV through to Zali Oulton at [email protected]

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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