Head of Risk and Compliance
- london, england, United Kingdom
- Permanent·On-site
- Full time
- £90 - £140 Per Hour
Job Description
Gherson Solicitors LLP is an equal opportunity employer and does not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.
**Please note that this role is fully office-based**
Gherson Solicitors is currently seeking to recruit an experienced Head of Compliance to lead the firm’s risk and regulatory function, acting as the firm’s Compliance Officer for Legal Practice (COLP) and Money Laundering Reporting Officer (MLRO). The successful candidate will take ownership of the firm’s overall compliance framework, working closely with the Partners and senior management to ensure the firm meets its regulatory obligations, particularly in relation to client onboarding, matter initiation, and ongoing AML and sanctions compliance.
Previous experience in a senior compliance or risk leadership role is essential, as is a strong, in-depth understanding of the SRA Standards and Regulations, and all AML and sanctions regulations and compliance frameworks relevant to law firms.
Responsibilities
- Lead the firm’s compliance function, working closely with the MLRO and Partners to ensure continued effective compliance with all relevant rules and regulations (particularly AML, sanctions, and the SRA Code of Conduct).
- Take ownership of the firm’s regulatory relationship with the SRA and other relevant bodies.
- Provide authoritative guidance on conduct across the firm, particularly regarding conflicts of interest, ethics, and accounts rules, escalating and resolving issues as they arise.
- Design, implement, and own the firm’s monitoring procedures to ensure continued compliance across all departments.
- Take ownership of sanctions compliance for payments made to the firm, working closely with both the Accounts team and fee earners to embed robust sanctions checks into day-to-day processes.
- Lead the ongoing review and development of the firm’s AML and sanctions policies, ensuring they remain current and fit for purpose.
- Own the drafting and maintenance of firm-wide policies, procedures, and training materials, ensuring regulatory requirements are communicated clearly and effectively.
- Design and deliver training on AML, sanctions, and the SRA Code of Conduct to solicitors, fee earners, staff members, and external consultants.
- Monitor regulatory and legislative developments, advising Partners and senior management proactively on emerging risks and required changes.
- Lead internal investigations into compliance issues, reporting findings and recommendations to senior management as appropriate.
- Act as the firm’s primary point of contact for compliance-related audits, assessments, and regulatory requests.
- Oversee a programme of file reviews to ensure continued compliance across the firm.
Requirements
- Significant experience in a senior compliance, risk, or regulatory role, ideally including experience as a COLP, COFA, MLRO, or in a similar leadership capacity.
- In-depth understanding of the SRA Code of Conduct, AML regulations, and sanctions compliance frameworks relevant to law firms.
- A strong track record of managing day-to-day compliance issues within professional services, along with experience shaping and leading a firm’s overall compliance strategy.
- Up-to-date, detailed knowledge of sanctions regulations and the obligations on law firms in complying with them.
- Willingness to develop a detailed, cross-jurisdictional understanding of sanctions regulations in order to advise confidently on sanctions compliance concerns relating to legal fee payments.
- Strong experience handling confidentiality, ethics, and financial crime matters, with the credibility and gravitas to influence Partners and senior stakeholders.
Areas of Focus
- GDPR and data protection
- Anti-bribery and corruption
- Anti-Money Laundering (AML) compliance
- Sanctions compliance and reporting
- Prevention of fraudSRA Code of Conduct and regulatory standards
Head of Risk and Compliance
Gherson Solicitors LLP is an equal opportunity employer and does not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.
**Please note that this role is fully office-based**
Gherson Solicitors is currently seeking to recruit an experienced Head of Compliance to lead the firm’s risk and regulatory function, acting as the firm’s Compliance Officer for Legal Practice (COLP) and Money Laundering Reporting Officer (MLRO). The successful candidate will take ownership of the firm’s overall compliance framework, working closely with the Partners and senior management to ensure the firm meets its regulatory obligations, particularly in relation to client onboarding, matter initiation, and ongoing AML and sanctions compliance.
Previous experience in a senior compliance or risk leadership role is essential, as is a strong, in-depth understanding of the SRA Standards and Regulations, and all AML and sanctions regulations and compliance frameworks relevant to law firms.
Responsibilities
- Lead the firm’s compliance function, working closely with the MLRO and Partners to ensure continued effective compliance with all relevant rules and regulations (particularly AML, sanctions, and the SRA Code of Conduct).
- Take ownership of the firm’s regulatory relationship with the SRA and other relevant bodies.
- Provide authoritative guidance on conduct across the firm, particularly regarding conflicts of interest, ethics, and accounts rules, escalating and resolving issues as they arise.
- Design, implement, and own the firm’s monitoring procedures to ensure continued compliance across all departments.
- Take ownership of sanctions compliance for payments made to the firm, working closely with both the Accounts team and fee earners to embed robust sanctions checks into day-to-day processes.
- Lead the ongoing review and development of the firm’s AML and sanctions policies, ensuring they remain current and fit for purpose.
- Own the drafting and maintenance of firm-wide policies, procedures, and training materials, ensuring regulatory requirements are communicated clearly and effectively.
- Design and deliver training on AML, sanctions, and the SRA Code of Conduct to solicitors, fee earners, staff members, and external consultants.
- Monitor regulatory and legislative developments, advising Partners and senior management proactively on emerging risks and required changes.
- Lead internal investigations into compliance issues, reporting findings and recommendations to senior management as appropriate.
- Act as the firm’s primary point of contact for compliance-related audits, assessments, and regulatory requests.
- Oversee a programme of file reviews to ensure continued compliance across the firm.
Requirements
- Significant experience in a senior compliance, risk, or regulatory role, ideally including experience as a COLP, COFA, MLRO, or in a similar leadership capacity.
- In-depth understanding of the SRA Code of Conduct, AML regulations, and sanctions compliance frameworks relevant to law firms.
- A strong track record of managing day-to-day compliance issues within professional services, along with experience shaping and leading a firm’s overall compliance strategy.
- Up-to-date, detailed knowledge of sanctions regulations and the obligations on law firms in complying with them.
- Willingness to develop a detailed, cross-jurisdictional understanding of sanctions regulations in order to advise confidently on sanctions compliance concerns relating to legal fee payments.
- Strong experience handling confidentiality, ethics, and financial crime matters, with the credibility and gravitas to influence Partners and senior stakeholders.
Areas of Focus
- GDPR and data protection
- Anti-bribery and corruption
- Anti-Money Laundering (AML) compliance
- Sanctions compliance and reporting
- Prevention of fraud
- SRA Code of Conduct and regulatory standards