Risk and Compliance Manager

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 Opportunities:

We are seeking to recruit a Risk and Compliance Manager to manage the firm’s risk and compliance function.

Duties and Responsibilities:

General duties include, but are not limited to:

• Providing a best in class internal risk and compliance function;
• Performance of the day to day tasks delegated by the COLP, COFA, DPO, Complaints / Claims officer and MLRO and regular liaison with these postholders;
• Risk and compliance management with knowledge of SRA and FCA compliance models;
• Assisting staff with conduct questions (e.g. conflicts) and reporting;
• Assisting staff with AML questions and reporting;
• Complaints and claims risk management;
• Practicing certificate renewals;
• Review, monitoring and updates of firm’s policies & procedures;
• Performance of file verifications and associated follow ups;
• Compliance record keeping, monitoring and reporting;
• Running new starter compliance sessions and embedding good practice;
• Creation and delivery of bespoke compliance training for staff;
• Compliance audits; and
• General compliance awareness activities.

Qualifications and Skills:

• At least 5 years experience in legal or financial services risk and compliance management
• Risk or compliance based qualification(s)
• Impeccable attention to detail
• Clear and consistent communication skills
• Ability to condense and simplify legal principles for others
• Up to date knowledge of risk and compliance requirements in the legal profession

The Perks:

• Competitive salary based on experience.
• Generous Bonus Scheme
• 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.
• 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.