Full job description

Risk & Compliance Advisor – West Midlands – Legal 500 Firm

A leading regional law firm is looking to appoint a Risk & Compliance Advisor to join its established Risk and Compliance function. This is an excellent opportunity for an experienced compliance professional with a background in legal compliance, risk, AML, regulatory or client due diligence to take on a varied role supporting the firm across a broad range of regulatory and risk matters - JOB REF: 215305029

Working closely with the COLP and Head of Standards & Ethics, you will play an important role in maintaining the firm's regulatory standards and ensuring compliance with SRA requirements and wider legal and regulatory obligations.

The Role

The successful Risk & Compliance Advisor will be responsible for a varied caseload, including:

• Acting as a first point of contact for compliance queries across the firm and providing practical, timely advice.

• Reviewing and updating policies and procedures and supporting wider compliance projects.

• Assisting with compliance training and keeping colleagues informed of regulatory developments.

• Managing and supporting regulatory matters, including complaints, breaches, investigations, audits, file reviews and data subject access requests.

• Preparing reports, identifying compliance gaps and escalating key findings to senior stakeholders.

• Supporting AML processes, including client due diligence, sanctions checks and suspicious activity monitoring.

• Assisting with conflict checks and new matter opening procedures.

• Maintaining accurate compliance records, registers and documentation.

• • Escalating potential regulatory or compliance concerns to the COLP, MLRO