Director of Risk and Compliance
We are seeking a Risk and Compliance Director to lead the Risk & Compliance team. The team are tasked with delivering the firm’s objectives in reducing risk and achieving across the board compliance with its regulatory and statutory obligations.
The role of Director is there to set the strategy and lead the team and ensure compliance with all regulatory and legal obligations, manage risk and be the firm's COLP (if appropriate), MLRO, MLCO and DPO.
Responsibilities include but not are limited to:
- Developing and implementing comprehensive risk mitigation strategies, processes, and frameworks to ensure regulatory compliance and protect the firm from potential losses
- Analysing changes in regulatory environments and developing recommendations on adapting existing risk and compliance programs accordingly
- Acting as a subject matter expert on regulatory issues impacting the business and providing guidance to the partnership on issues of risk and compliance
- Leading the Risk & Compliance team of six, comprising an onboarding team and risk lawyers
- Establishing and maintaining robust compliance programs, including policy and procedure development, training, and auditing
- Collaborating with Information Security and technology teams to integrate risk management and compliance functions
- Leading risk projects to ensure that they are correctly scoped and implemented. This will range from implementing new policies and procedures to reviewing our onboarding procedures
- Being the firm's COLP (if appropriate), leading liaison with regulatory bodies and conducting investigations
- Providing advice to the firm's COFA
- Building a safe, supportive and transparent culture around risk and compliance matters
- Managing new and evolving risks proactively, in a timely manner and ensuring that regulatory requirements are met as part of a proactive risk management strategy
- Providing internal expertise to the firm on its legal/statutory, regulatory and contractual obligations to include assisting HR with employee onboarding queries and contractual terms and responding to legal and regulatory queries raised by any other area of the business
- Acting as a point of escalation for complaints handling
- Acting as joint Data Protection Officer with the firm's Head of Technology & Security and ensuring compliance with the legislation
- Acting as the firm's MLRO and MLCO and ensuring compliance with required legislation
- Advising on sanctions and ensure compliance
- Overseeing procurement (within the Risk and Compliance team) which deals with both supplier contracts and unusual client terms
- Being a member of the Reputational Risk Committee and Wellbeing and Culture Steering Group
- Providing relevant risk and compliance training or arranging for training to take place.
Ideally you will be able to demonstrate;
- Significant experience in a similar role as either a qualified lawyer or risk and compliance professional
- Experience of regulatory compliance in a law firm or professional services environment
- Thorough knowledge of SRA Standards & Regulations, Sanctions, AML/CTF and data protection
- Ability to analyse complex regulations and develop practical strategies for ensuring compliance
- Understanding of and the ability to advise on ethics
- Commercial awareness
- Excellent communication skills, both verbal and written, including the ability to effectively communicate complex regulatory requirements to non-technical stakeholders
- Strong leadership, management, and mentoring skills with a track record of effectively leading teams
- Confidence and approachability. Working as a team player and leader who is comfortable handling a wide range of queries and providing advice directly to the business
- The gravitas and ability to win and maintain the confidence of senior stakeholders, and build trusted relationships
- The ability to show independent judgement, as you will be required to work closely with partners and senior management on matters which are sensitive and are time critical which could affect the reputation of the firm
- The ability to create an environment of trust
- Competitive salary
- 28 days annual holiday
- Permanent Health Insurance
- Life Assurance
- Private Healthcare
- Pension Scheme
- Staff Introductory Scheme
- Employee Assistance Programme
With almost 200 lawyers in one location, we ensure our clients have the right team to help them get from where they are to where they want to be. We advise major corporates and institutions as well as entrepreneurial, ambitious enterprises which are often privately or family owned, or private equity backed. As well as our significant business law capability, we are one of only a few London-based law firms with a large private wealth offering. Our clients find our straightforward approach a compelling alternative to larger, less personal firms.
Whether you are an ambitious and talented individual wanting to hit the ground running from day one, or an established professional looking for a new opportunity, Howard Kennedy is the firm where you can really make it happen.
We have earned a strong reputation for our exceptional and uniquely talented people who between them deliver outstanding results for clients. In a firm of our size, our strong team dynamic creates a thriving culture of creativity and entrepreneurialism. Howard Kennedy is a pragmatic and non-hierarchical environment where success is shared, and you are proactively encouraged to thrive at your own pace.
Our distinctive culture is built on fairness and respect. Guided by the firm’s values of talk straight, think smart and be yourself, everyone in the firm holds equal value, and everyone plays their role in supporting, encouraging and inspiring colleagues to do their best work.
At the same time, we recognise and reward individualism, celebrating the diversity of our people and supporting them to grow their practice and drive their own career advancement.
As well as client work, there is opportunity to broaden your horizons at the firm with fulfilling pro bono and charity projects. We have a regular social calendar full of wellbeing activities, charitable and social events too.