BCL Legal Recruitment
0845 241 0933

Head of Risk and Compliance

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Newcastle and Tyneside
Private Practice
Contract Type:
Permanent role
Reference Number:


Head of Risk and Compliance - Newcastle

- Full service law firm based in Newcastle City Centre
- Client base throughout the UK and further afield

- Reporting directly to the Managing Partner, you will be responsible for leading the firm in maintaining their legal and regulatory requirements
- You will also be responsible for delivering a culture of compliance throughout the firm, raising awareness surrounding compliance and regulatory matters, ensuring firm wide best practice as required by the SRA
- You will represent the firm as the Compliance Officer for Legal Practice (COLP), Data Protection Officer (DPO) and Anti-Money Laundering Officer (AMLO)
- Acting as first point of contact for all regulatory bodies, including the SRA, ICO, Lexcel and others

- You will ideally be a qualified Solicitor, with experience working in an SRA regulatory of commercial practice
- Ideally you will have previously held the position of Compliance Officer for Legal Practice (COLP), Data Protection Officer (DPO) and/or Anti-Money Laundering Officer (AMLO) within your current or previous role, although this is not essential
- You will have solid knowledge of data protection legislation and AML procedures
- You must have the ability to balance commercial and compliance risks to achieve positive outcomes for the firm, and maintain the highest professional standards to ensure the firm is not in a position of risk.

- You will perform risk assessments to understand the level, significance and scope of risk within the firm's risk and compliance procedures
- Review and define a risk and compliance framework for the firm, including best practice guidance.
- Ensure that systems and controls are in place, in recording breaches and in reporting material breaches to the SRA, ICO or NCA as appropriate
- Take overall responsibility for the advice, management and development of the firms' risk and compliance systems, proposing improvements to manage risk.
- Lead on the annual Lexcel accreditation process, the Law Society's legal practice quality mark for practice management and client care.
- Advise the Management Committee in the implementation of risk and compliance matters.
- Investigate all breaches and near breaches of all regulations and statutes and report material breaches in compliance as required as soon as reasonably practicable.
- Be the first point of contact for firm related data protection enquiries and Subject Access Requests.
- Investigate and recommend any course of action following any client complaints.
- Maintain a centralised reporting system to capture and record any breaches in compliance.
- Provide guidance and recommendations on corrective actions or risk mitigation of potential issues in policies, systems and employee or partner conduct.
- Be the primary relationship contact for the SRA, ICO, Lexcel and any other appropriate regulatory bodies.
- Responsibility for updating and maintaining all policies on risk and compliance.
- Assist in gathering information in response to regulatory requests.
- Ensure risk and compliance training is delivered effectively as required.
- Maintain up to date knowledge and understanding of appropriate regulations and internal policies and procedures, including money laundering regulations, General Data Protection Regulations, SRA Handbook, firm standards of client service, anti-bribery and corruption, conflicts of interest, client due diligence etc.
- Comply and uphold the firm's policies and procedures, such as health and safety, IT, security, email and anti-virus policies and equality and fair treatment.

- Highly competitive salary and benefits are on offer
- You will be reporting directly to the Managing Partner who is incredibly approachable and will offer a wealth of support and encouragement for the successful candidate

If you're interested in this role, please apply now or forward an up-to-date copy of your CV, or call us.
If this job isn't quite right, please contact us for a confidential discussion on your career.

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BCL Legal is an equal opportunities employer.

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