Legal Director - Risk & Compliance

Key Responsibilities

Regulatory & Compliance

• Support the implementation and monitoring of the SRA Standards and Regulations, including the Codes of Conduct for Firms and Individuals.
• Assist with COLP and COFA breach identification, investigation, recording and reporting.
• Help maintain systems and controls required under the SRA regulatory framework.
• Help lawyers manage matter‑level risks, including client expectations, scope, and engagement terms.
• Assist in the development, implementation and maintenance of internal policies, procedures and compliance frameworks.
• Monitor regulatory developments and assess their impact on the firm’s operations, policies and procedures.
• Support regulatory reporting obligations where required.
• Maintain accurate records for governance committees and regulatory reporting.

Governance

• Preparing and submitting annual returns and confirmation statements.
• Drafting, reviewing and filing corporate documents such as Board and shareholder resolutions and articles of incorporation and amendments.
• Maintaining statutory registers.

Insurance

• Support the management of the firm’s insurance programme, including professional indemnity insurance (PII) and other corporate insurance policies.
• Assist with insurance renewals, broker engagement and policy reviews.
• Advise internally on insurance coverage, policy interpretation and risk mitigation strategies.
• Support the handling and investigation of potential claims and notifications to insurers.
• Assist with the coordination of internal information gathering and documentation for insurance-related matters.

Compliance Monitoring

• Conduct routine compliance reviews and monitoring activities across business units, including file reviews.
• Escalate potential breaches or concerns.
• Analyse trends in breaches, complaints, claims, and risk indicators to identify emerging risks.

Risk Management

• Work closely with the Risk Director to identify, assess and manage legal and operational risks across the firm.
• Assist in the development and ongoing improvement of the firm’s risk management framework and governance processes.
• Support internal investigations, incident management and risk reviews where necessary.
• Assist with the preparation of risk reports and internal risk management documentation.

Commercial Contracts

• Draft, review, negotiate and advise on a wide range of commercial contracts relating to the firm’s business operations.
• Provide legal advice on supplier agreements, technology contracts, outsourcing arrangements and other commercial arrangements.
• Advise on regulatory considerations relevant to commercial arrangements (e.g., data protection, procurement, IP, competition considerations).
• Identify legal and commercial risks in proposed agreements and recommend practical solutions.
• Work closely with the Risk Director where contractual issues intersect with regulatory or operational risk.
• Develop and maintain template agreements and internal guidance to support consistent contracting practices across the firm.
• Maintain accurate contract records and support contract lifecycle management.

Internal Collaboration

• Act as a trusted advisor to partners, senior management and internal business services teams.
• Work collaboratively with other internal teams, including Finance, IT, HR and Operations.
• Support the development and delivery of internal training and guidance on legal risk, regulatory compliance and best practices.
• Promote a culture of effective risk management and regulatory compliance across the firm.

Requirements:
Experience & Qualifications

• Qualified solicitor in England & Wales
• 7 to 8 years’ post-qualification experience (PQE).
• Strong experience in regulatory compliance.
• Experience gained in a law firm, professional services firm or in-house legal team.
• Experience dealing with insurance matters, particularly professional indemnity insurance, would be advantageous.
• Demonstrated ability to advise senior stakeholders on legal and risk matters.

Skills & Competencies

• Excellent legal drafting, negotiation and analytical skills.
• Strong understanding of legal risk and compliance frameworks within professional services environments.
• Ability to provide clear, practical and commercially focused advice.
• Strong organisational skills and ability to manage multiple matters simultaneously.
• Excellent written and verbal communication skills.
• Ability to work independently while collaborating effectively with colleagues across the firm.

Personal Attributes

• Commercially aware with a pragmatic approach to legal risk.
• High level of professionalism, integrity and discretion.
• Strong attention to detail.
• Collaborative and able to build effective working relationships.
• Proactive, solutions-focused and comfortable working in a fast-paced professional services environment.

Benefits:
• 25 days’ annual leave (plus 8 Bank Holidays)
• Private medical insurance
• Private pension scheme
• Life assurance
• Enhanced maternity and paternity leave
• Employee assistance programme
• Employee referral bonus
• E-bikes discount (available through salary sacrifice scheme)
• Gym discounts
• Season ticket loans

Pre-engagement Screening

If we extend an offer of employment to you, we will conduct pre-engagement screening checks where local legislation permits and where relevant to your role and to working within a regulated environment. These checks may include, but are not limited to, verification of your professional and academic qualifications, your eligibility to work in the relevant jurisdiction, any criminal records, your financial stability and obtaining work-related references.