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    Compliance and Risk Manager

  • Job type: Permanent
  • Sector: Regulatory/ Compliance
  • Location: Newcastle upon Tyne, Tyne and Wear
  • Salary: £35000 - £55000 per annum
  • Date posted: 19/08/2019
  • Job reference: 40249_1566227389

Compliance & Risk Manager


Salary Negotiable

My client is an award-winning law practice with multiple offices across Scotland and the North of England, they are specialists Lawyers in the fields of Finance and Property acting for both private and commercial clients. They are seeking an experienced Compliance Manager for their central Newcastle office.

Role of the Compliance department;

To offer 2nd line of defence to the business and have oversight of 1st line operations team, maintenance of Policies and Procedures, co-ordination of completed monthly review frameworks and compliance requirements.

Job Role and Requirements

To oversee Lender Services Practice Group monthly monitoring of activity via a Conduct Risk Framework Dashboard.

The key elements of this are as follows;

  • Case reviews. A full end to end customer journey and outcome review for a sample of cases each month for each of the LSPG departments.
  • Call listening, both as part of customer journey reviews and standalone. Ensures that calls are reviewed for every case handler on a regular basis.
  • Correspondence reviews. A review of the use of standard and nonstandard letters

Key Responsibilities

  • Provide evidence of adherence to the LSPG's policies and procedures.
  • Oversee the monthly internal audit functions of all operational activities.
  • Maintain the department's activity logs including the risk register.
  • Ensure that each employee is aware of the importance of compliance and respects and contributes to its implementation
  • Ensure all staff completes annual mandatory regulatory training.
  • Oversight of Complaint handling.
  • Prepare Compliance Reports to present to management / clients.
  • Provide clients with monthly compliance requirements.
  • Design and implement training, policies and procedures to ensure that all LSPG departments are compliant with client and regulatory requirements.

Skills and Knowledge


  • Flexibility
  • An open and inquisitive mind
  • Sensitivity to different cultures and the ever changing regulatory environment
  • Skills and human qualities which allow to advise, train and raise awareness amongst company staff on the significance of business ethics and compliance


  • Financial Services regulatory requirements
  • Eye for detail
  • Methodical
  • Integrity
  • Good communicator and mentor

Salary for this role will be commensurate with experience and they offer an exciting benefits package. This role represents an exciting opportunity to further develop your career within an ambitious and dynamic team

If this is a role that sounds of interest to you, please send your CV across to Simon at Clayton Legal on the link provided or alternatively call Clayton Legal to enquire about other opportunities. Please ensure before applying you have the prerequisite experience outlined above.

Clayton Legal recruits for law firms and In House departments across the UK. Based in the North West, our pedigree and service levels give those looking to move in the legal market and law firms looking to recruit a refreshingly different recruitment experience. You will work with experienced professionals, dedicated to your success. Take a look at our web site for our latest blogs and legal news and to keep up to date with current vacancies

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