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Compliance Manager

The Compliance Manager is responsible for overseeing and managing all aspects of regulatory compliance across the firm. This includes ensuring that the firm meets its obligations under the SRA Standards and Regulations, anti-money laundering legislation, data protection requirements, and other applicable legal and regulatory frameworks. The role also has lead responsibility for the handling and resolution of all client complaints.

This position plays a key part in maintaining a strong culture of compliance and risk awareness across the firm. While the role does not currently include acting as COLP or COFA, it involves close working relationships with those designated individuals and with senior stakeholders to ensure compliance is embedded into all aspects of the firm’s operations.

The Compliance Manager is expected to take a proactive, hands-on approach to compliance, advising on best practices, monitoring developments in the regulatory landscape, and supporting colleagues across departments and offices to uphold the highest professional standards.

Main duties and responsibilities of the role:

  • Develop, implement, and maintain firm-wide compliance policies, procedures, and controls in line with regulatory requirements.
  • Monitor and ensure compliance with the SRA Standards and Regulations and other applicable legislation, including AML, GDPR, and financial crime prevention.
  • Manage and coordinate responses to regulatory changes, ensuring the firm remains up to date and compliant.
  • Lead on the handling, investigation, and resolution of client complaints, maintaining appropriate records and ensuring compliance with the Legal Ombudsman’s requirements.
  • Manage internal processes relating to potential and actual professional negligence claims, including liaising with the firms’ insurers and working closely with the internal claims administrator.
  • Conduct regular internal audits and compliance reviews across departments and offices.
  • Provide training and guidance to staff at all levels on compliance related matters, including induction and refresher training.
  • Work closely with COLP, COFA, MLRO and the Operations Board to maintain a robust risk and compliance framework.
  • Liaise with external regulators, auditors, and other stakeholders where appropriate.
  • Maintain and monitor firm-wide registers (e.g. breaches, complaints, undertakings, training).
  • Support the implementation of risk mitigation strategies
  • Assist in managing professional indemnity insurance renewals and related risk assessments.

Skills & Experience

  • Proven experience in a compliance role within the UK legal sector
  • Strong understanding of the SRA Standards and Regulations, GDPR, AML legislation, and other regulatory frameworks relevant to law firms.
  • Experience managing and resolving complaints in a professional services setting
  • Exceptional attention to details and organisational skills.
  • Ability to communicate effectively and confidently with staff at all levels.
  • Skilled in delivering training and embedding a culture of compliance.
  • Analytical mindset with the ability to assess and mitigate risks proactively.
  • Self-motivated, with the ability to work independently and handle sensitive matters with discretion.
  • Excellent verbal and written communication skills
  • Office base: West Midlands - Evesham, Lichfield, Redditch, Solihull, Sutton Coldfield or Walsall
  • Salary dependent on experience
  • 26 days holiday + Bank Holidays
  • Pension scheme
  • Holiday bonus scheme
  • Firm funded eye tests

For further information, or to apply for this position, please email your CV or contact Nicki WIndridge - nickiwindridge@hcbgroup.com