Compliance & Risk Manager

Are you looking for your next challenge in your Compliance career?  We are seeking a diligent and experienced Compliance and Risk Manager to join our team.

The Compliance and Risk Manager will be responsible for ensuring that our firm adheres to all relevant laws, regulations, and internal policies, minimizing risk and maintaining our reputation for excellence.

They will be responsible for managing and running all of  the Firm’s operational compliance functions and will play a part in setting the plans and strategy for the Firm’s compliance functions moving forward.  This is across the key spaces of SRA, FCA, money laundering, ICO and complaints management.

About Herrington Carmichael:

Herrington Carmichael LLP isn’t your average law firm. We’re an award-winning, Legal 500 ranked team known for our commitment to growth, fostering strong relationships, and our ambitious approach to providing full-service legal guidance for businesses, families, and individuals. We value collaboration and strive for excellence in everything we do.

The Opportunity:

The successful candidate will be responsible for managing and running the operational activities of the firm’s internal compliance function, including:

  • Setting the plans and objectives for the compliance function.
  • Playing an active role in the strategy for the compliance function.
  • Evaluate risk levels, significance, and scope within the firm’s compliance procedures, communicating findings to the Compliance Board.
  • Oversee and manage policies, systems, and controls related to compliance, promptly reporting breaches to regulatory bodies like the SRA and ICO.
  • Ensuring best in class compliance function.
  • Reducing or alleviating the compliance burden on to the fee-earning resources within the firm.
  • Advise the Compliance Board on implementing compliance measures.
  • Serve as the primary contact for data protection inquiries and Subject Access Requests.
  • Investigate and recommend actions in response to client complaints
  • Provide guidance on corrective actions and risk mitigation strategies for policy, system, and personnel issues.
  • Working alongside the heads of department to identify and reduce risk factors.
  • Deliver effective risk and compliance training as needed.
  • Stay updated on relevant regulations and internal policies, including money laundering laws, GDPR, SRA Handbook, client service standards, anti-bribery measures, conflicts of interest, and client due diligence.
  • Conduct audits to ensure the firm remains compliant with statutory and regulatory requirements.
  • Collaborate with the Compliance Board and the firm’s insurers to address claims against the firm.
  • Manage and development the compliance team.

Required experience:

  • A minimum of 5 years previous compliance experience within a law firm.
  • Strong communication and leadership skills, capable of influencing and building relationships across all levels.
  • A pedigree in being involved in and influencing strategy.
  • Ability to work with Partners and Management Committee to resolve client conflicts effectively.
  • Commitment to maintaining the highest professional standards to minimize risk.
  • Proficiency in IT, organization, and maintaining confidentiality.
  • Skill in balancing commercial interests with compliance requirements.
  • Ability to handle confidential matters with discretion and tact.

The Perks:

  • Competitive salary based on experience.
  • Generous bonus.
  • Free car parking for your convenience.
  • Comprehensive benefits package including a pension, enhanced maternity and paternity pay, 25 days holiday plus an additional day for Christmas closure and Perkbox benefits.
  • Hybrid working with defined core hours, offering flexibility to adjust start and end times as needed.
  • The opportunity to learn and grow within a supportive and dynamic team.

Ready to Make a Difference?

We’re looking for someone who is passionate about providing exceptional service, excited to be part of a winning team, and embraces our core values of Growth, Relationships, Ambition, Collaboration, and Excellence. If that sounds like you, send your CV and a cover letter outlining your qualifications to Kate Hardesty, Resourcing Manager, at careers@herrington-carmichael.com.

Herrington Carmichael is dedicated to fostering a workplace that celebrates diversity and promotes equal opportunities for all, regardless of race, ethnicity, gender, age, sexual orientation, disability, religion, or any other characteristic protected by law. We are committed to fair and transparent recruitment processes. Reasonable adjustments for applicants with disabilities are available upon request. We believe that a diverse and inclusive workforce drives innovation and success.

To apply for this job email your details to careers@herrington-carmichael.com.