Risk & Compliance Manager

An international commercial law firm is looking for a Risk Management and Compliance Manager to support their risk management function.

The Role:

The Risk and Compliance Manager will be responsible for taking a leading role on the design, development and delivery of the firm's risk management strategy. Working closely with the Compliance Officer for Legal Practice (COLP) and Finance Administration (COFA), the Risk and Compliance Manager will help to ensure the firm remains compliant with regulatory and legislative requirements, while taking a commercial approach to risk-based challenges.

Key Responsibilities:

Strategy & Governance

• Designing, implementing and leading the firm's risk management and compliance planning across their global offices, as aligned to the firm's wider business strategy
• Conducting compliance reviews and investigations, reporting to the COLP / COFA, Partners and Management Team on any current issues, threats or developments as required
• Advising contracts in connection with firm ventures
• Managing the Quarterly COLP and COFA meetings and recording any breaches and initiatives for change

Compliance

• Designing and managing compliance, regulatory and legislative processes, and advising on ongoing requirements, including those in connection with:
  • AML/CDD
  • Conflicts of interest and confidentiality
  • Financial sanctions, anti-bribery & corruption and tax evasion
  • Financial services regulation
  • Engagement terms with clients and procurement terms with third parties
  • GDPR and privacy

Risk Management

• Designing and managing risk management procedures, and advising on ongoing requirements and best practice, including those in connection with:
  • Insurance requirements
  • Complaints and conduct issues
  • Information security and breach management
  • New client/matter onboarding and management, including ongoing monitoring of high risk clients
  • New joiner/partner processes, including conflict screening
  • Procurement and contractual negotiations and terminations
  • Business continuity

Documentation & Training

• Drafting and maintaining the firm's risk and compliance policies, procedures and best practice documentation
• Researching and drafting briefings on complex legal markets and regulatory changes
• Providing and leading on training in all areas of risk and compliance, developing and updating training materials and guidance notes as required
• Responsible for leading on developing and delivering training programmes for all areas of risk management and compliance in general

Projects

• Providing advice on risk and compliance in relation to the delivery of wider business projects, which might include:
  • New office launches
  • Outsourcing ventures and IT systems change
  • Other ad hoc projects arising from external changes