Regulatory Law Jobs, Vacancies

Job Description:

Duncan Lewis Solicitors (Ltd):

Regulated by the Solicitor’s Regulation Authority, Duncan Lewis Solicitors was founded in 1998 and is headquartered in the City of London (Fenchurch Street EC3M), with offices nationwide. We are recognised by the Legal 500 and Chambers & Partners UK independent legal directories as a top-tier law firm in all of our key practice areas – “a diligent and professional team that is prepared to go the extra mile for its clients”. A paperless law firm with over 500 personnel that embraces hybrid-working, we service both corporate entities and private individuals in over 25 areas of law across 60 languages. We give people a voice - that is our ethos.

Choosing a career with Duncan Lewis is choosing a law firm that is the largest provider of publicly funded (legal aid) legal services in the country and has a growing private client practice. We have been Investors in People Gold Standard accredited for over 15 years and are continuously applauded nationally for the work that we do.

Having demonstrated unparalleled legal expertise and a commitment to justice, we were awarded Law Firm of the Year at both the 2024 Lexis Nexis Awards and 2023 Modern Law Awards. We are named as one of the Times 200 Best Law Firms. In 2021 we were celebrated by the Chambers Europe Award as an ‘outstanding firm’ for diversity and inclusion. In previous years we have been awarded a number of awards, including the Law Society Excellence Award for Large Law Firm of the Year in 2020, Access to Justice at the UK Legal Diversity Awards in 2019 and the Family Law Firm of the Year at the 2015 Family Law Awards, to name just a few. Duncan Lewis is Law Society Lexcel, Cyber Essentials Plus and ISO 27001 Information Management accredited.

About the role:

We now require an in-house Regulatory Compliance Solicitor to head a small team and to assist the Board of Directors with risk and compliance matters from our City of London office.

This full-time position requires working five days a week, with a hybrid schedule of three days in the office.

The main responsibilities of the role will include:

• Day to day handling of allocated regulatory risk and compliance matters as set out by relevant regulatory bodies such as, the SRA and the ICO.
• Assisting with annual regulatory audits and renewal processes.
• Assisting staff with case-related and insurance-related risk and compliance matters.
• Day to day handling of compliance related central registers.
• Reporting to the Management Board of Directors on risk and compliance.
• Assist with the delivery of induction and probationary period training to new joiners on mandatory risk and compliance modules.
• Training staff on risk and compliance updates.
• Assisting in the file review process from a compliance perspective and supporting staff to ensure file reviews are completed.
• Assisting in auditing of the company procedures and processes on risk and compliance
• Assist with the handling and overseeing of complaints in accordance with the company’s complaint handling policy.

Key Skills Required:

The successful person will be expected to advise and assist on all risk and compliance issues across the company and carry out relevant staff training. Ideally, we are therefore looking for a Solicitor with a background in Risk and Compliance matters. Non-qualified lawyers with excellent credentials are invited to apply. It is important that the candidate has a strategic mind, is willing to work in a paperless environment and has a comprehensive understanding of the rules and regulations governing legal practice and specifically:

• The Solicitors Regulation Authority (SRA) Standards and Regulations [StaRs]
• SRA Code of Conduct for Firms and Code of Conduct for Solicitors.
• Solicitors Accounts Rules
• Anti-Money Laundering
• Data Protection
• Complaints
• Risk assessment
• Knowledge of Law Society Lexcel Standards is an advantage.

The successful candidate must be familiar with recent legislative changes.

Equal Opportunities:

Duncan Lewis is committed to Equal Opportunities and embraces diversity of its staff. The Company strives to ensure that our staff reflects the diversity of the communities we serve, which is reflective at all levels within our workforce. We guarantee an interview for candidates that disclose a disability and meet the essential requirements for the post. Please provide additional details in your covering letter if this applies. If you are interested in applying for this vacancy, please visit our website and apply using our online process for your application to be considered. APPLICATIONS SUBMITTED BY AGENCIES WILL NOT BE ACCEPTED FOR THE ABOVE VACANCY