Risk and Compliance Manager

Ingham Jones are currently partnered with a leading specialist law firm in the UK, who are looking to appoint a Risk and Compliance Manager into a newly created role.

Responsibilities:

• Act as the primary point of contact for internal compliance queries, offering guidance on ethical conduct, conflicts of interest, and regulatory standards.

• Oversee the development, implementation, and maintenance of firm-wide compliance policies, procedures, and risk registers in line with regulatory obligations.

• Deliver regular training and awareness initiatives to partners, lawyers, and staff on compliance matters including AML, data protection, and professional standards.

• Support compliance with data protection regulations, collaborating with data leads to ensure secure handling and transfer of sensitive information.

• Conduct internal file reviews and audits to monitor adherence to client care, confidentiality, and billing practices.

• Manage regulatory reporting requirements and maintain accurate records of any material breaches or compliance issues.

• Serve as liaison during external regulatory inspections or audits.

• Identify and assess key operational and regulatory risks; implement mitigation strategies across business functions.

• Collaborate with finance and administrative compliance leads to ensure alignment across financial and operational practices.

• Respond to and manage complaints and claims involving the firm, including liaising with insurers, tracking developments, and conducting investigations where necessary.

• Work closely with departmental heads to identify process improvements and implement enhancements that reduce compliance risk.

• Provide legal and procedural advice relating to source of wealth, AML due diligence, and sanctions compliance.

• Contribute to shaping the firm’s overall compliance culture, helping embed risk-awareness and ethical behaviour at all levels.

• Ensure compliance practices are proportionate and commercially appropriate, especially in areas outside of direct regulatory scope.

Candidate Profile:

• At least 5 years’ experience in a legal compliance function, with experience in law firms.

• Strong working knowledge of AML, GDPR, professional conduct rules, and relevant financial crime legislation.

• Demonstrated ability to advise senior stakeholders with clarity and discretion.

• Excellent problem-solving, prioritisation, and communication skills.

• Comfortable working autonomously while also contributing effectively to cross-functional teams.

• Proven experience managing regulatory audits, policy development, and training programmes.

• Highly organised with meticulous attention to detail.

• Familiarity with professional indemnity insurance and wider regulatory frameworks including the SRA Code of Conduct, Legal Ombudsman schemes, and related legislation (e.g., Bribery Act, Criminal Finances Act).

+44 (0)7502 818481