Compliance Manager

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Lightfoots Solicitors has been at the heart of the community in Thame for 170 years. With six offices across Oxfordshire and Buckinghamshire, Lightfoots is proud of its unrivalled reputation of excellence for all of our services.

We are currently seeking to appoint a Compliance Manager to join our Ethics & Compliance team. This role will involve advising the firm on regulatory and compliance matters, supporting policies and procedures, and working closely with stakeholders across the firm.

We are open to hiring at Advisor or Manager level, depending on experience, with responsibilities, title and salary aligned accordingly.

The role involves responding to AML/KYC daily queries, guiding staff and delivering training, monitoring and reporting, systems and onboarding process review.

Hybrid working offered.

Key Responsibilities

• Reviewing and responding to daily queries (firmwide) regarding client due diligence/KYC, including source of funds and
• HMLR's 'Safe Harbour' status requirements.
• Directing staff to the MLRO where there are higher risks of ML/PF/TF or concerns/suspicion.
• Assisting staff in understanding and applying Lightfoots' AML (including Sanctions, CTF, CPF) policies, procedures, and controls by identifying knowledge gaps and providing guidance and training.
• Keeping the AML knowledge hub on the staff intranet up to date with the latest FAQ's, practical guides, policies, and other useful resources.
• Reviewing the firm's existing EID&V providers and the client onboarding process to assess suitability and opportunities for improvement, as well as implementing approved changes.
• Working with the Senior Ethics & Compliance Adviser and Partner to keep the Firm's Practice Wide Risk Assessment and financial crime policies up to date with current legislation and regulation, emerging risks and relevant firm changes.
• Identifying areas of risk and non-compliance and reporting on these with recommendations for remediation, in particular, running system reports and following up with non-compliant staff.
• Co-ordinating and recording the firm's monthly file reviews, which involves conducting the initial compliance review and then co-ordinating with other reviewers to ensure the qualitive legal review is complete.
• Keeping abreast of changes in relevant financial crime legislation and regulatory frameworks, as well as specific lender requirements in the Lender Finance department.

What We're Looking For

• Strong understanding of AML and associated regulations.
• Experience of working in a Law Firm
• Analytical skills - identify potential risks, and assess the likelihood of suspicious activity as well as the ability to carefully examine documents and information for accuracy and completeness.
• Problem solving skills - identify and resolve KYC-related issues and escalate complex cases.
• Excellent attention to detail and organisational skills.
• Strong communication and interpersonal skills.
• Ability to analyse processes and data to identify areas for improvement.
• Ability to work with all levels including partners and management.
• Honesty and integrity.

Why work for Lightfoots Solicitors?

Our staff are our greatest asset, and we work hard to provide a culture where you can thrive and enjoy a fantastic career. Our benefits package has been built around what our people value the most;

Money Matters

• Competitive industry salary - with annual salary reviews & bonus scheme
• Enhanced pension contributions - with qualifying service
• Discounted legal fees - discounted conveyancing & wills for you and your family
• Personal financial advice - helping you achieve your financial goals
• Discounts - from a wide range of retailers
• Employee Referral Scheme - up to £1000 bonus

Mind, Body & Soul Matters

• Enhanced holiday allowance - which increases with service
• Private Health Insurance - with Bupa (with qualifying service)
• Healthcare Cash Plan - money back for everyday health expenses, for you and your dependents, such as optical & dental
• 24/7 Virtual GP Access - help & support available for when you need it
• Company Sick Pay - with the option to use this for caring for a dependant
• Free flu jabs- onsite annual flu vaccinations
• Discounted Gym Memberships - as well as discounts for other health related retailers
• Free fruit in all offices - fresh fruit delivered to the office each week
• Employee Assistance Programme - 24/7 access to counselling and support
• Mental health first aiders - we have nine qualified Mental Health First Aiders across the firm providing confidential support
• Wellbeing events - held throughout the year, from stress resilience workshops to wellbeing breakfasts and lunchtime walks
• Paid volunteer days - to volunteer for a charity of your choice
• Events - firm organised events throughout the year including quarterly socials, breakfast briefings, book club , Christmas party & lots more.
• Committees - we have active Social ,Charity, Wellbeing and ESG committees.

Family Matters

• Enhanced family leave - enhanced pay for Maternity, Adoption, Paternity & Shared Parental leave
• Flexible working - our Flexible working policy helps with your work life balance
• Flexible sickness entitlement - the option to use your own sickness entitlement if a dependent is unwell and needs care
• Healthcare Cash Plan - money back for everyday health expenses, for you and your dependents

Career Matters

• Learning & Development - access to hundreds of webinars and training courses
• Paid study leave - with sponsored training opportunities
• Long Service Awards - we celebrate & reward our long standing colleagues
• Lightfoots Core Values Award - Rewarding colleagues who have demonstrated our core values

Apply

If you think this role is perfect for you (or nearly perfect, we would still like to hear from you) please apply or if you would simply like to find out more you can contact our recruitment team on [email protected].

As a Disability Confident employer, we promote diversity and provide equal opportunities for all individuals. We prioritise inclusivity and ensure we have a supportive and accessible workplace for those with disabilities. If you require any adjustments to be able to attend an interview please do let us know.

Recruitment decisions are made on fair and objective criteria.

The personal information we have collected from you will be shared with Cifas who will use it to prevent fraud, other unlawful or dishonest conduct, Confidential malpractice, and other seriously improper conduct. If any of these are detected you could be refused certain services or employment. Your personal information will also be used to verify your identity. Further details of how your information will be used by us and Cifas, and your data protection rights, can be found by Fair Processing Notices for Cifas' Databases | Cifas