Risk and Compliance Solicitor

London (Central), London (Greater)
01 Sep 2017
31 Oct 2017
Role Classification
Contract Type
Experience Level
0-2yrs PQE, 2-5yrs PQE, 5+ yrs PQE


To assist the Director of Risk and Compliance with the delivery of the firm's objectives in reducing risk and achieving across the board compliance with regulatory and statutory obligations.


  • Conduct file reviews, feedback to lawyers/Heads of Department and report the same to the Director of Risk and Compliance and COLP and COFA as necessary, and analyse areas for improvement and suggest ways in which improvements can be made.
  • Review complaints correspondence and draft responses based on a review of the file and by liaising with the fee earner and if necessary supervisor, Director of Risk and Compliance, COLP and/or COFA.
  • Notify circumstances to insurers, supervise the rectification of issues and liaise with external solicitors where necessary.
  • Provide conduct (particularly conflict of interest), ethics and accounts rules advice to any member of staff as and when required.
  • Provide written guidance to the firm on areas of risk and compliance as and when required.
  • To work with all members of staff in supporting and developing internal knowledge and best practice.
  • To feed into any changes to the client inception processes.
  • To assist in providing relevant internal training if required.
  • To assist in preparing the firm for any external auditing or insurance renewal process.
  • To develop more junior members of the team in relevant areas of risk and compliance.
  • To keep up to date with all relevant regulatory and compliance developments and feed back to the Director of Risk and Compliance any suggestions for change in our processes or approach.
  • To assist the Director of Risk and Compliance with any other duties as and when required.



  • Qualified Solicitor or other legal qualification.
  • Thorough understanding of the Code of Conduct 2011 and the SRA's Outcome Focused Regulation regime.
  • Understanding of the Money Laundering Regulations, Bribery Act 2010 and Solicitors Accounts Rules 2011.
  • Previous experience in dealing with day to day compliance issues.
  • Previous experience in complaints handling.


  • Previous experience in notifying circumstances to insurers and the supervision of rectifying matters.
  • Ability to defend negligence claims against the firm without the need to instruct external solicitors.
  • Previous experience in private practice.


  • Excellent communicator with positive outlook and a 'can do' attitude.
  • Flexible worker who is willing to take on additional tasks to assist the team.
  • Able to influence and persuade at all levels in order to ensure colleagues understand and follow correct procedures.
  • Excellent interpersonal skills- must be able to establish and maintain internal and external working relationships.
  • Excellent analytical skills and attention to detail.
  • Positive and robust attitude with high level of personal motivation.


  • Competitive salary
  • 25 days annual holiday
  • Permanent Health Insurance
  • Life Assurance
  • Interest free Season Ticket Loan
  • Private Healthcare
  • Pension Scheme
  • Staff Introductory Scheme
  • Employee Assistance Programme


  • Core Hours: 9.30 a.m. – 5.30 p.m. 

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