Head of Legal Compliance
Nottingham/Peterborough
Full-time | Hybrid (3 days office, 2 WfH)
£70,000 – £75,000
We’re partnering with a well-established and highly regarded law firm that is looking to appoint an experienced Head of Compliance to lead and further develop its Compliance and Risk function.
This is a senior leadership opportunity for a compliance professional who can combine strategic oversight with hands-on delivery, ensuring the firm maintains robust systems, controls and processes while supporting continued growth and exceptional client service.
The Role
Reporting directly to senior leadership, you will be responsible for leading the firm’s compliance framework and ensuring ongoing adherence to regulatory, legal and professional obligations.
The position is both strategic and operational, requiring a confident and commercially minded compliance leader who can provide practical advice to the Board, partners and managers while overseeing the day-to-day delivery of compliance activities across the firm.
Key Responsibilities
Regulatory Compliance & Governance
- Lead and develop the firm’s compliance framework, including policies, procedures, controls, registers and risk assessments
- Ensure compliance with SRA Standards and Regulations, SRA Accounts Rules and other relevant regulatory requirements
- Support the Board, COFA and senior leadership team in meeting their regulatory obligations
- Monitor regulatory developments and implement required changes across the business
- Prepare and present compliance reports to senior management, committees and the Board
- Maintain accurate records of compliance decisions, breaches, audits and remedial actions
AML, Financial Crime & Risk Management
- Oversee the firm’s AML and financial crime compliance arrangements
- Maintain and develop the firm-wide AML risk assessment
- Provide guidance on client due diligence, enhanced due diligence, source of funds, source of wealth and sanctions compliance
- Review escalated AML and sanctions matters and ensure appropriate decision-making and documentation
- Manage compliance monitoring, file reviews and audit programmes
- Track and implement remedial actions arising from audits, reviews and regulatory feedback
Data Protection & Information Governance
- Oversee the firm’s data protection framework, policies and governance arrangements
- Advise on GDPR compliance, DPIAs, data sharing arrangements and information governance matters
- Support responses to subject access requests and data protection incidents
- Work closely with IT and operational teams to ensure appropriate controls are maintained
Quality Assurance, Training & Professional Standards
- Develop and deliver risk-based file audit programmes across all departments
- Identify compliance trends, training needs and process improvement opportunities
- Lead compliance training initiatives and staff induction programmes
- Advise on professional conduct, conflicts, confidentiality, supervision and client care matters
- Support the firm’s complaints handling framework and client protection objectives
Leadership & Stakeholder Engagement
- Lead and develop the Compliance team
- Build strong relationships with partners, Heads of Department and operational teams
- Promote a positive compliance culture across the firm
- Provide practical, commercially focused advice that supports both regulatory compliance and business objectives
- Act as a trusted advisor to senior stakeholders on compliance and risk matters
About You
We’re keen to speak with experienced compliance professionals who can demonstrate:
- Strong experience within legal compliance, risk management or a regulated professional services environment
- Excellent knowledge of SRA Standards and Regulations, SRA Accounts Rules, AML requirements, data protection and professional conduct obligations
- Experience conducting compliance monitoring, file audits and breach management
- Proven ability to advise partners, senior leaders and fee earners on complex compliance and regulatory issues
- Experience producing reports and recommendations for senior management and Board-level audiences
- Strong policy development, risk assessment and compliance framework experience
- A practical understanding of law firm operations, including client onboarding, matter management, billing, supervision and file closure
- Excellent communication, leadership and stakeholder management skills
Desirable Experience
- Previous experience as a Head of Compliance, Compliance Manager, COLP, MLRO or DPO
- Experience within an FCA-regulated environment
- Experience working within a multi-office law firm
- Exposure to legal technology, compliance workflow systems and case management platforms
- Experience supporting regulatory inspections, external audits or insurer reviews
- Relevant compliance, AML, risk management, legal or data protection qualifications
What’s on Offer
- Competitive salary package
- Hybrid working arrangement
- Genuine leadership opportunity with significant autonomy and influence
- Opportunity to shape and enhance the firm’s compliance strategy
- Supportive and collaborative working environment
- Long-term career development and progression prospects
Why Apply?
This is an excellent opportunity to join a respected law firm in a pivotal leadership role, where you’ll have the opportunity to influence strategy, strengthen compliance standards and help drive a positive culture of risk management and regulatory excellence across the business.
Interested? Apply now or get in touch for a confidential discussion.
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