Risk and Compliance Solicitor

Vacancy ID




Preferred location

Vacancy type

Qualified Lawyer
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Risk & Compliance Solicitor Cambridge based, ideally full time, but part time would be considered, permanent contract The role

This is a varied role which will be responsible for working as a key member of the Risk & Compliance team being supervised to advise staff and partners across the business on the management of risk, ensuring best practice at all times.

The person

The role requires a qualified solicitor of NQ+ PQE who has an analytical approach and some experience of managing and advising on often complex legal problems. As the role deals with a variety of queries from across the firm, you will need to be people orientated and able to adapt your approach and the way in which you give your guidance to accommodate this. It is not necessarily expected that you will have experience of all areas of the role and training will be provided if required.

You will need to be comfortable being visible and accessible to teams and be available and willing to deal with a significant amount of 'informal traffic' within your day-to-day work while seeking supervision where appropriate from Solicitors within the Risk & Compliance team.

The role additionally requires someone who:

  • Is IT literate and who is familiar with MS Office
  • Is self-managed and confident in setting and prioritising their own work agenda
  • Has excellent written as well as verbal communication skills
  • Is able to demonstrate that they can convey complex legal matters in a way that different audiences can understand
  • Is confident and able to build sustainable relationships with internal colleagues
  • Is organised and methodical in how they approach their work
  • Has excellent attention to detail
  • Is a team player
  • Is willing to take on new responsibilities and challenges

The activities

Risk Management

  • Provide risk management, best practice and ethics advice to partners, staff and business services teams on a broad range of issues (including advice relating to retainers, confidentiality, data protection, AML, tax evasion, conflicts, Persons with Significant Control (PSC), outsourcing, file management, supervision, anti-bribery and corruption, referral arrangements, fee sharing arrangements, and information barriers)
  • Assist with maintenance of the firm's risk register
  • Maintain the firm's breaches register
  • Report to the COLP on breach statistics
  • As part of incident management, make breach recommendations to the COLP
  • Liaise with the COLP and COFA to ensure all correspondence with the SRA (in relation to the SRA Code of Conduct and Solicitors Accounts Rules) is recorded centrally by the Risk & Compliance team
  • Draft, review and update risk management-related policies
  • Maintain the firm's Risk Management Intranet page which sets out risk-related policies and internal and external guidance for lawyers and staff


  • Deal with PI-related queries from clients
  • Advise on coverage issues and liaise with brokers and insurers where appropriate
  • Support with the annual renewal of policies

Regulatory queries and claims

  • Manage the firm's and its SRA-authorised subsidiaries' mySRA accounts
  • Prepare and assist management with the submission of the firm's SRA bulk renewal application and the firm's SRA-authorised subsidiaries' SRA renewal
  • Liaise with the SRA on regulatory matters
  • Draft correspondence to the SRA on behalf of the COLP, Managing Partner and Senior Partner
  • Support management with preparation for SRA Regulatory meetings
  • Prepare new manager, change of COLP/COFA and new SRA-Approved Anti Money Laundering Officer SRA applications
  • Advise HR and lawyers on mySRA and SRA authorisation matters
  • Log and monitor incidents that are reportable to the regulators
  • Assist with the more significant claims, complaints and regulatory incidents being forensic in your analysis of these regulatory issues

Contract related queries

  • Provide commercial drafting input into client and supplier contracts
  • Respond to risk related questions in tenders and existing client due diligence questionnaires

Ad hoc responsibilities

  • Advise on ad hoc Anti Money Laundering (AML), conflict related claims passing on to relevant people if these are not within your remit
  • Support the requirements from Risk & Compliance with the annual ISO reaccreditation (including carrying out audits relating to document control and records management, file reviews and post-delivery activities)
  • As required, report on risk related data statistics including supporting of the management review reports twice a year
  • Provide input into new business initiatives by providing risk and compliance input and expertise
  • Delegate work to the Risk Paralegals as appropriate and support with their personal development

Pre-employment screening

Please note that, in the event that we make an offer of employment, we will conduct pre-employment screening that includes checks relating to your professional and academic qualifications, references from previous employers, your eligibility to work in the UK and any disciplinary history recorded with the Solicitors Regulation Authority (SRA). You will also be required to complete a self-declaration to access your character and suitability.

Disclosure and barring service check

This post is also subject to a satisfactory response from the Disclosure and Barring Service (DBS) to check for any previous criminal convictions.

The package

As you would expect, the firm offers a generous salary and benefits. The firm's standard benefits are detailed in the following link:


The firm

What really sets Mills & Reeve apart from other law firms is the way we work with our clients. We understand that clients, in the 21st century, no longer want a traditional law firm - they want one that embraces forward thinking approaches to service, billing, commercial know-how, innovation, people management and community engagement.

And finally…

Mills & Reeve is committed to providing an inclusive and supportive working environment. We are happy to consider flexible working arrangements and endeavour to achieve the right balance for both our people and the business. This attitude to flexible working ensures we continue to provide outstanding service to our clients, whilst allowing our people to develop their careers in the knowledge that personal priorities will remain just that.

Mills & Reeve is committed to promoting equality, diversity and to providing an inclusive and supportive environment. For further information, please view our diversity policy.

If you would like any more information about Mills & Reeve, you can visit our website by clicking on the following link: http://www.mills-reeve.com/

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