Head of Risk & Compliance

Location: Head Office - Arundel Gate

Contract Type: Full-time Permanent

Closing Date: 31 March 2019

Specific Hours : Full Time

Head of Risk & Compliance

Taylor&Emmet LLP is full-service law firm with offices in South Yorkshire and Derbyshire. This success has been achieved by delivering the highest quality legal advice to business and private clients, many of whom have remained with the firm for generations. From Solicitors, qualified professionals and non-qualified Legal Assistants to Information Technology, Human Resources and Marketing, T&E provides a challenging career in a variety of areas. Whether starting or growing your career, T&E can offer a performance-driven culture filled with talented and innovative teams and colleagues.

Job Specification

Taylor&Emmet LLP is currently seeking to recruit a full time, permanent Head of Risk and Compliance.

Working alongside the CEO and the Management Board, the Head of Risk and Compliance will have lead responsibility for managing all aspects of risk and compliance and the maintenance of in-house and external quality standards across the firm.

The successful candidate will also be responsible for leading the implementation of all regulatory and statutory requirements which impact on risk and compliance, within the firm. 


Role Summary:

The successful candidate will be required to work closely with departments of the practice across all 5 offices and will provide advice and support to the CEO and Management Board on a range of risk and quality management issues affecting the firm. This will include but not be limited to:

  • Managing and handling complaints made about the firm or individuals within the firm, circumstances, and claims that require notification to the firm's PI insurers.
  • Ensuring that legal and regulatory risk and compliance issues are identified, monitored and addressed proportionate to the firm’s key business objectives, targeting resources (internal and external) to managing risks that have the potential to expose the firm, clients and employees
  • Providing input into business and strategic decisions from a compliance perspective, including providing support for tender applications
  • Manage the firm’s risk and incident registers
  • Undertake and manage investigations of potential compliance issues in accordance with the firms risk and quality management policies
  • Prepare regular reports to the CEO and Management Board of risk and compliance issues, identifying developing trends and areas of risk and proposing suitable solutions for mitigating risk
  • Coordinate the in house file review process
  • Conducting regular reviews of the firm’s risk and quality compliance policies and procedures;
  • Management of the firm’s Lexcel and other quality
  • Manage and implement appropriate risk and quality management training programmes for all personnel to ensure compliance with all relevant regulatory and legislative requirements


Ideally, candidates will have comprehensive knowledge and expertise of the SRA’s regulatory framework and associated rules & legislation and ideally be at least 5 years qualified as a solicitor.  Candidates must be able to demonstrate a high level of technical knowledge and experience in a previous risk and compliance role, advising and developing and managing compliance/risk systems and controls.


Key Skills and Experiences:

  • Will possess the ability to work quickly and accurately, and pay attention to detail.
  • Excellent client service skills
  • Ability to manage volume data and work to deadlines and often under pressure.
  • Confident in use of email and other systems in daily work.
  • Excellent time management and organisational skills
  • Knowledge of Microsoft Word, Outlook


The successful candidate will be professional, hardworking and reliable, with a bright, enthusiastic personality, and have the ability to work effectively as part of a multi-disciplinary team.

Apply now