Risk and Compliance Manager

Birmingham, West Midlands
17 May 2021
16 Jul 2021
Role Classification
Other Professional
Contract Type
Experience Level

About the role and team

An opportunity has arisen to join our Risk and Compliance team. The main duties and responsibilities of the role are:

  • Be a key source of information, advice, guidance and training to help everyone in the firm work in compliance with policies and procedures developed from professional rules and statute (including Data Protection Act 2018, Legal Ombudsman Scheme Rules, Money Laundering Regulations 2017 and SRA Standards and Regulations).
  • Monitor progress on achieving and maintaining compliance with the Lexcel standard, ensuring that the firm is in a state of readiness for annual reviews by the assessor.
  • Lead the administration of core compliance functions and line manage the Risk and Compliance Coordinator.
  • Support the firm’s Designated Complaints Handler with investigating coordinating and determining our response to escalated complaints.
  • Administer SRA and professional negligence matters under the direction of the COLP or Head of Risk and Compliance including keeping accurate records as necessary.
  • Monitor departmental risks and work with department managers and leaders to ensure that local risks are regularly reviewed and remedial actions monitored where applicable.
  • Complete targeted audits and deliver feedback on specific areas of practice improvement and trends that may impact more widely on whole firm compliance.

About the candidate

Specific Skills and Knowledge

  • A well-formed understanding of the Lexcel Standard and regulation in the legal sector including where this touches on financial services regulation.
  • Capable of delivering clear, concise documentation and accessible training.
  • Able to work confidently with lawyers, managers and staff to maintain and improve standards of performance.
  • Excellent IT skills including the ability to confidently use the suite of Microsoft packages and a range of internet and network-based products.
  • Able to research and paraphrase regulatory and statutory documentation.
  • Strong administrative and organisational skills.
  • Able to coordinate delivery of compliance activities by others.
  • Capable of collating information from a variety of sources and constructing clear documents.

Personal Competences                             

  • Professional outlook, highly organised, able to multitask and meet deadlines.
  • Ability to manage others in a style that demonstrates the values and culture of the firm.
  • Articulate and able to deliver clear, positive messages about complex subject matter.
  • Resilience and determination to support risk and compliance processes.
  • Detail orientated and able to take ownership of tasks.
  • Capacity to interpret and apply regulations and rules in a way that supports commercial legal service delivery.

About the firm

Anthony Collins Solicitors is a specialist law firm with a clear purpose – to “improve lives, communities and society". For over 40 years we’ve been successfully combining market-leading legal expertise with a commitment to excellence and long-term relationships underpinned by a strong set of values.

What makes Anthony Collins Solicitors distinctive, beyond simply being a sector-specialist law firm, is our people and the values we share. We’re extremely proud of the calibre of people that we attract; people who are inspired by our values, motivated by our vision and work with our clients to positively influence the society and communities we are building together.

Anthony Collins Solicitors is a committed Equal Opportunities employer promoting equality of opportunity. This means that everyone who either applies to or works for the firm is treated equally, whatever their gender, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.