Director of Compliance & Risk

Director of Compliance & Risk

Abacus Careers are delighted to be assisting our client for the position of Director of Compliance and Risk.

This is a great opportunity to work with a market leader that has built a strong reputation over the years.  Our client boasts an excellent employer brand, an unprecedented reputation for service delivery and a first class level client base.

Widely recognised as a leading law firm in this area, you will also be able to demonstrate your ability to manage client relationships professionally and focus on delivering an excellent quality level of service.

Role:

• Effective Regulatory Compliance- Providing advice and guidance on legal and regulatory issues, researching and drafting responses to queries from Fee Earners on issues ranging from AML queries, data protection queries, compliance with LSNI/other regulatory requirements.
• Risk Management- Maintaining Risk Register, conducting Firm wide Risk Assessments for AML, CTF, Modern Anti-Slavery, Bribery & Corruption, risk review of contracts with clients and suppliers, identifying legal risk and implementing measures to reduce and/or manage risk.
• Management of complaints and PI Claims- Helping to manage complaints and PI litigation files including file review, preparing documents for disclosure to panel law firm, advising Equity Partners on options and next steps.
• Ethical business decisions- The ethical issues which impact on the firm (and are important to our clients) must form part or our strategic decision making. Providing advice on issues including sustainability, transparency, anti-bribery and corruption, Criminal Finances Act, Modern Anti-Slavery and conflicts of interest.
• Driving forward change-Dealing with other business support heads (Finance, HR, IT) and partners to identify areas for improvement and to drive forward change/projects, supporting new lines of business.  Providing input into business and strategic decisions from a compliance perspective;
• Conflict checking- Chairing conflict queries to be dealt with by the Risk and Compliance Team and arranging for a Committee of three Equity Partners to determine when a resolution cannot be reached. Providing training on conflicts of interest
• Managing the firm’s risk and incident registers;
• Conducting regular reviews of the firm’s risk and quality compliance policies and procedures and ensure that reviews take place within the appropriate time period;
• Assisting with ISO and other quality accreditation schemes;
• Ensuring compliance with the firm’s onboarding process;

Requirements:

• Previous experience working in a role in Risk and Compliance within a Professional Services setting, such as a Law Firm, Financial Services, Banking or Accountancy
• You will demonstrate understanding of the SRA handbook and AML would be essential
• Knowledge of ISO9001 is advantageous but not essential.
• Ability to set and manage key stakeholder expectations
• Experience in analysing and drafting regulatory plans, policies, procedures and controls.
• Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulators, and external auditors.

Salary:

Excellent basic salary on offer and great reward package!!

Primary Contact:

Nicky Strutt – for a more detailed job spec

Next Steps:
Please submit your application or speak to a specialist consultant from the Abacus team on 0044 (0) 28 9031 3157 for a confidential discussion. We aim to respond to all inquiries within 4 business hours.
The team at Abacus manages a range of permanent and contract positions throughout Northern Ireland, the UK and the Republic of Ireland. If you are experienced and/or professionally qualified we can support your job search.
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