York - 01904 716000
Wetherby - 01937 583210
Malton - 01653 692247
Wetherby 01937 583210
Malton 01653 692247
Regulatory Compliance Officer

Ware & Kay Solicitors have an excellent opportunity for a Compliance Officer, experienced in the regulatory landscape of solicitors, to join their established and respected solicitors practice with offices in York, Wetherby and Malton.

Location: The successful candidates will be based in York but would need to visit our other 2 offices in Malton & Wetherby, so regular use of a car will be an advantage.

Salary: Dependent on experience.

Hours: Part time (minimum of 3 days per week).

The successful candidate will be taking a lead role in all compliance matters associated with the firm’s business as solicitors regulated by the Solicitors Regulation Authority (‘SRA’).  You will be ensuring the firm is compliant with its regulatory and other statutory obligations. The reporting line will be to the firm’s Compliance Officer for Legal Practice (‘COLP’).

The Role

  • Development of best practice compliance management procedures in line with SRA Standards and Regulations and Law Society guidance.
  • Implementation, maintenance and monitoring of firm-wide compliance manuals, policies and procedures and practical guidance.
  • [Dependent on experience and commitment, appointment as the firm’s Money Laundering Reporting Officer (‘MLRO’).]
  • Ensuring compliance with Anti-Money Laundering requirements including training, risk reporting, advice to fee earners and preparation of Suspicious Activity Reports (and reporting to the MLRO)
  • Ensuring compliance with Data Protection requirements including GDPR and reporting to the COLP.
  • Assisting the COLP to report to the Directors about the firm’s compliance with SRA Standards and Regulations.
  • Staying informed on the impact of the SRA Standards and Regulations of all practice areas relevant to the firm.
  • Provide ongoing reviews, development and embedding of the firm’s Risk and Compliance policies, including the communication and training surrounding these.
  • Prepare and provide reports and management information on a regular basis to the COLP.
  • Promote a culture of risk awareness across the business by engaging teams in understanding risk and compliance.

The Experience

  • Experience of working in a compliance/outcome-focused role.
  • Knowledge of the applicable regulatory expectations.
  • An ability to communicate complex ideas in a non-technical way.
  • Ability to prioritise workload and meet deadlines
  • Strong communication and negotiating skills
  • Strong interpersonal, presentation and communication skills
  • Detail and results focused

The Package

  • A competitive salary
  • Bonus Scheme
  • Holiday allowance
  • Sickness allowance
  • Workplace Pension Scheme
  • Annual team building events
  • Organised social activities

If you believe you have the skills and experience for this role please send you CV together with covering letter to Claire May, HR Manager at claire.may@warekay.co.uk

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