Interim Compliance Manager (Part or Full time hours)
Compliance with regulatory requirements is critical to our firm and of vital importance to us. It's a big job - read on to find out how we're doing it and how you can help.
So what's the job?
We're looking for a Compliance Manager to take responsibility for the delivery of the Compliance Programme. This is a role that requires objectivity and balance when reviewing and evaluating compliance, risk and quality matters. You'll ensure that, as a firm, we are in compliance with the rules and regulations of the Financial Conduct Authority, Data Protection Act, Money Laundering and other applicable regulatory requirements. Another key area will be to provide assurance that the firm's policies and procedures are documented, reviewed for relevance, communicated and are then followed.
We're looking for someone with a proactive and pragmatic approach to compliance as you'll need to be able to engage and influence our people across our 8 UK offices.
This is a maternity leave contract based in our Newcastle office, a short hop from the Quayside. We're flexible on hours and can accommodate either full time or part time (3.5 days).
What will I actually be doing day to day?
First and foremost you'll be looking to achieve the objectives set out in the compliance plan, providing reports on a regular basis to senior management and the board. You'll need to maintain up-to-date knowledge of the regulatory framework and identify any new regulatory initiatives or changes to rules that may impact on our business. You can expect to work closely with the business teams to manage change and identify potential areas of compliance vulnerability and risk and to develop and implement corrective actions plans for the resolution of problematic issues.
You'll provide a focal point for advice and guidance on compliance activities, recommend solutions and support the introduction of new practices.
This is just a snapshot and we have a more comprehensive job description.
Who will I work with?
You'll work closely with our team of financial advisers and their support teams in our subsidiary company Womble Bond Dickinson Wealth Limited and act as an independent reviewer to ensure that operational compliance matters are being appropriately evaluated, investigated and resolved. Reporting into the Operational Risk Director (who is also the Compliance Officer) you'll be part of the wider Risk and Best Practice team. These teams are based across Newcastle, Bristol and Plymouth and the team is headed up by our General Counsel's office. Then there are our Partners, Lawyers, Directors, Managers through to Paralegals, Legal Secretaries and Support teams.
Ok so what qualifications and experience do I need?
You'll need to be a self-starter who is professional and diligent. A problem solver with good attention to detail, troubleshooting expertise and a solutions focussed approach. We're a fast-paced, progressive firm so you'll also need to be highly organised and able to plan effectively.
This is a challenging role, so naturally we have a 'wish list' of essential skills. Firstly, a good working knowledge of the FCA's Handbooks, including Client Asset rules and more generally the Principles of Business. You'll also need a general understanding of other key regulatory requirements (data protection/anti-money laundering/fraud). Ideally you'll bring with you a track record of working in a regulated environment providing practical support and advice on compliance and risk related matters.
A relevant compliance qualification (ICA/Compliance Institute etc) is desirable, as is a good working knowledge of financial services related systems/software. Experience of Intelliflo or similar practice management systems would be an advantage.
What makes it great to work here?
Womble Bond Dickinson is a full-service transatlantic law firm, created through the combination of UK firm Bond Dickinson and US firm Womble Carlyle last year.
A Top 100 law firm globally and Top 20 law firm in the UK, Womble Bond Dickinson has more than 420 partners and 1,000 lawyers based across the US and UK including a significant presence in London. The firm's reach also extends to Europe where it has strategic partnerships with other law firms in Germany and France.
But most of all – it's our people and culture that make it a great place to work.