Legal Director - Risk & Compliance (Hiring Immediately)

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 mu]]>