Added30th August 2018 by Riverview LawRiverview Law

Location: Wirral or Manchester
Salary: Competitive
Compliance Manager

Compliance Manager

About This Role

Purpose of job

  • To be responsible for the legal/ Solicitors Regulation Authority (SRA) regulatory risk, quality and compliance programme on a day to day basis.
  • Providing advice, support and assistance to the Compliance Officer for Legal Practice (COLP) & Compliance Officer for Finance and Administration (COFA).
  • Ensuring compliance by the business and its staff with regulatory and legal requirements and quality standards.
  • Use best-in-class techniques, appropriate systems, processes and controls to achieve the above purpose.

Key responsibilities 

Your core duties include:

– With the support of the Information Security Manager, putting in place, regularly reviewing and updating the legal/SRA risk & compliance systems, processes and controls. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– With the support of the Information Security Manager ensuring compliance with all relevant SRA regulatory, and legal requirements, across all business activities and relevant jurisdictions relating to the provision of legal managed services, projects and technology services.

– With the support of the Information Security Manager, monitoring and reporting on relevant legal/SRA risk and compliance activity in an appropriate and timely manner. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– A member of the Risk and Compliance Committee and reporting to that committee on compliance matters.

– Ensuring that all emerging legal/SRA regulatory changes are appropriately identified, triaged and assessed with an action plan produced for dealing with each item. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– Liaising closely with and advising the COLP & COFA on the discharge of their regulatory duties and keeping them regularly updated on all relevant legal/SRA risk and compliance matters and impending regulatory changes. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– Responsibility for building and maintaining compliance processes (relating to regulatory and legal rules) and working with the Information Security Manager to ensure these are incorporated into other group policies and procedures.

– Renewing Company and individual Practicing Certificates through the firm and bulk renewal process.

– Compiling and promptly submitting details of material breaches and annual compliance reports of all non-material breaches to the SRA, as required.

– With the support of the Information Security Manager, ensuring a robust and well communicated legal/SRA risk and compliance process within the business which is regularly reviewed and updated in line with amendments to regulatory practices. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– With the support of the Information Security Manager, ensuring internal adherence with respective areas of legal/SRA risk and compliance policy and procedures and identifying and reporting to the Director of Legal Services where such procedures are not being followed. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– Building trust and confidence internally and with the SRA through open, honest and professional relationships.

– Working with the HR team, preparing, delivering and co-ordinating compliance training.

– Horizon scanning, identifying and proactively managing and mitigating regulatory and other risks and potential impacts for the business and responding to relevant SRA consultations.

– Ensuring the consistent application of the highest legal/SRA risk and compliance standards.

– With the support of the Information Security Manager, conducting legal/SRA risk and compliance risk assessments and recommending appropriate remedial actions. Outcomes of this review will feed into the ISO process and wider risk management run by the Information Security Manager.

– Maintaining and reviewing compliance with the SRA Handbook.

– Implementing and monitoring appropriately documented legal quality systems and processes.

– Supporting the Money Laundering Reporting Officer to ensure that the firm complies with the Law Society Practice Note in force from time to time and the relevant legislative requirements.

– Ensuring compliance with other Law Society Practice Notes and SRA Warning Notices and preparing updates to policies for sign off by the Director of Legal Services.

– Investigating and reporting on Complaints, negative customer feedback, whistle-blowing allegations and non-compliances and recommending remedial actions and where appropriate feed into the Information Security Manager as part of the wider company audit process.

– Carry out independent monitoring activities across all business activities, in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and standards and preparing updates to policies for sign off by the Director of Legal Services.

– Involved in the group internal audit programme and supporting the Information Security Manager as an ISO internal auditor.

– Managing the production, delivery and completion of compliance monitoring plans to include continuous, periodic and themed reviews.

– Overseeing legal records management from client inception to archiving, including conflict issues, ensuring client care and terms of business letters are updated and sent out and key dates diaries are maintained and preparing updates to policies for sign off by the Director of Legal Services.

– Assisting the Training Principal in the Training Contract process, including acting as the Training Contract Coordinator and Training Supervisor for any Trainees in a Compliance seat.

Additional responsibilities:

  • To actively participate as a senior manager within Riverview. This will include being involved in developing and implementing strategy, policy, best practice and other business initiatives as required.
  • To share know-how, drive positive, measurable change and engender a culture of compliance, quality and continuous improvement throughout the organisation.
  • To ensure that the corporate interests of Riverview are protected and enhanced.
  • Fostering a collaborative and consultative relationship across Riverview teams.
  • To undertake any other reasonable duties as requested.


  • Manage own and team reports’ time (where applicable) effectively to complete team workloads and meet internal or regulatory deadlines.
  • Maintain an open and collaborative relationship with the SRA.
  • You must create, maintain and promote a productive and supportive relationship with all your colleagues and adhere to the Riverview Law values.
  • You will work closely with all key stakeholders across the business to ensure services are delivered effectively.
  • You will work with teams across the business to support objectives.

People Management (where applicable e.g. a trainee solicitor compliance seat)

  • Hold 121s regularly, reporting concerns and training requirements to Director of Legal Services.
  • Induction, supervision, coaching, mentoring, setting and monitoring objectives, performance and absence management, personal and career development.
  • Proactive monitoring and management of workloads.
  • Collation and presentation of comprehensive, accurate and high quality Compliance Management Information.


Measurements will include:

  • Achieves objectives which are organised around Profitability, Productivity, Quality and Customer Satisfaction.
  • Embodies the Riverview Values in all tasks and empowers all team members to do likewise.
  • Feedback from internal stakeholders and external customers.
  • Other achievement benchmarks as agreed in regular 121s.
  • Achieving customer deadlines.
  • Quality/accuracy of work produced.

Education / Qualifications

Essential Qualifications and experience:

  • Qualified and practising solicitor (England and Wales).

Skills / Attributes / Experience

  • High quality and relevant post qualification legal experience.
  • Detailed knowledge and understanding of the regulatory and legal framework for an ABS and professional conduct rules as regulated by the SRA.
  • Significant experience of risk and compliance matters from a legal business perspective.
  • Understanding of wider statutory and regulatory requirements for a business, including compliance with Data Protection legislation.
  • Detailed knowledge of professional indemnity insurance.
  • Excellent working knowledge of money laundering compliance.
  • Proven ability to effectively work independently, set priorities, meet deadlines, and to manage multiple projects in an extremely fast paced start-up environment.
  • Experienced in managing complex, sensitive and other matters that may have significant business impact.
  • Proven track record in taking a regulation and applying commercial and operational acumen to its impact and implementation approach.
  • Ability to use and scope requirements for legal and compliance software.
  • Advanced IT skills (Word Processing, Outlook, Excel, PowerPoint and Internet).
  • Experience of working for a fast growing business and quickly scaling up a compliance programme.
  • Professional manner in person, in writing and by telephone.
  • Excellent ‘plain English’ drafting skills, with the ability to communicate complex concepts with clarity to all levels.
  • Commitment and ability to manage an extensive and diverse workload under pressure and to tight timescales.
  • The energy and enthusiasm to be immersed into an important role, supporting the development of new services and opportunities and applying risk and compliance principles to innovative ideas.
  • Positive attitude and flexible approach.
  • Operates with the highest standards of honesty and professional conduct.
  • Confident, dynamic and balanced all-rounder.
  • Strong analytical skills with ability to assess issues and draw conclusions clearly and succinctly.
  • Strategic thinking skills.
  • Strong interpersonal skills including ability to build rapport and influence colleagues and third parties, particularly at a senior level.
  • Must be highly credible in front of regulators and the Riverview Law Executive Committee and Board.
  • Good presenter and articulate, confident and fluent communicator.
  • Provider of honest and constructive feedback.
  • Continually looking to develop own skills and expertise.
  • Well organised, with proven project management, forward planning skills and the ability to prioritise effectively.
  • Self-motivated and able to use own initiative and take responsibility.
  • Commercial and pragmatic approach to problem solving.
  • Ability to develop practical, cost effective solutions to complex issues.
  • Attention to detail and ability to apply a process driven methodology.
  • Technical excellence and high levels of personal effectiveness.
  • Committed, calm under pressure, clear thinker and grasps concepts quickly.
  • Requires good business and legal judgement.
  • Ability to support decisions with sound reasoning.
  • Strong cultural fit with the Riverview ethos of innovation, customer service, leading by example and ‘Moments of Truth’.
  • High degree of tolerance for continuous change, relishing working in an entrepreneurial, fast paced and high growth environment.

Core Competencies

To lead by example by demonstrating Riverview’s Core Values:

  • Individual.
  • Enthusiastic.
  • Inquisitive.
  • Professional.
  • Positive.
  • One team.

Other Requirements

  • Must have use of own car and hold a current driving licence.
  • Ability to work flexible hours and locations, including occasional overnight stays, if required by the business.

Equal Opportunities 

Riverview Law is fully committed to the principle of equal opportunities in employment and opposes all forms of unlawful or unfair discrimination, direct or indirect. All employees are expected to promote and work fully in line with the Company’s Equal Opportunities policy.

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