Job title
Risk and Compliance Manager
Department
Standards and Ethics
Our Purpose
To forge long-term relationships that have a positive impact on our people, our clients, our business partners, and our communities.
Our Commitment to Our People
We do not think there is a magic formula to the Higgs culture. The key is to listen to and respect our people. If we take care of our people and our people take care of our clients, then everything we want as a firm will take care of itself. We are friendly and open to new ideas.
Our Core Values
Higgs core values are “CLEAR” – Care, Legacy, Excellence, Authenticity, Relationships
Role Purpose
To support the firm's Risk and Compliance function by assisting with regulatory, risk management, anti-money laundering (AML), and client due diligence activities, helping to ensure the firm remains compliant with SRA regulations and relevant legal and regulatory requirements.
Key Responsibilities
- Act as the first point of contact for compliance queries, providing clear and timely advice across the firm, and collaborating closely with the COLP and Head of Standards & Ethics.
- Review and refine policies and procedures, assist with compliance projects and deliver training
- Manage regulatory matters including complaints, breaches, investigations, data subject access requests, audits, and file reviews, reporting findings and gap analyses to relevant stakeholders.
- Assist with AML queries, sanctions checks, client due diligence, and maintain accurate compliance records and registers.
- Assist with conflict checks and new matter opening processes, identifying and escalating any potential compliance or regulatory issues.
- Monitor and escalate suspicious activity, sanctions alerts, and other regulatory concerns to the Head of Standards & Ethics, COLP, or MLRO as appropriate.
Person Specification
We use a set of criteria to ensure our recruitment process is fair and consistent.
These criteria describe the skills, behaviours and attributes that are essential for success in this role.
The criteria below will be assessed via application (A), interview (I), Test (T) or multiple i.e. (A/I/T).
Essential Criteria
- Demonstrates initiative by staying informed of developments in their practice area and wider sector. Actively applies this knowledge to deliver high-quality outcomes and supports shared learning within the team through clear communication and collaboration. (A/I)
- Takes responsibility for delivering high standards of work. Remains positive and professional during periods of change or challenge, contributes constructively to team initiatives, and seeks ongoing development to enhance performance. (A/I)
- Applies knowledge of the firm’s policies, regulatory, and accreditation requirements. Demonstrates commercial awareness by supporting efficient working practices, identifying risks, and contributing to the overall financial health of the team and matters. (A/I)
- Delivers excellent client service by producing accurate, timely work and anticipating client needs. Acts as a brand advocate by building strong relationships, representing the firm professionally and contributing to business development initiatives that enhance the firm’s reputation and growth. (A/I)
- Supports the smooth running and performance of the team by planning and allocating work effectively, responding positively to change, and assisting with performance improvement. Builds strong working relationships and encourages a consistent, collaborative approach across the team. (A/I
Technical Know How
- Proficient in using Microsoft 365 applications
- Previous experience within a legal, compliance, risk, AML, or regulatory environment.
- Understanding of SRA regulations, AML legislation, and data protection principles.
What We Offer You
We offer more than just a job. Our benefits reflect our commitment to your development, wellbeing and work-life balance. Click here to discover more.
Higgs offers hybrid working wherever possible. Our Higgs’ Best FIT (flexible, inclusive, together) principles are designed to ensure that people can complete their best work from the most appropriate location. If you are looking to work flexibly then let us know and we will do what we can to accommodate your request.
We also encourage a ‘dress for your diary’ approach which means dressing in a manner appropriate for your schedule or the specific appointments you have on any given day.
Equal Opportunities
Higgs LLP is proud to be a signatory of The Law Society’s Diversity, Inclusion Charter and a Disability Confident Committed Employer. These commitments reflect our dedication to building a workplace that is inclusive, accessible, and welcoming to all. We actively encourage applications from individuals of all backgrounds, experiences, and identities.
As part of our Disability Confident commitment, we offer a guaranteed interview to disabled applicants who meet the essential criteria for the role and choose to opt into the Disability Confident Interview Scheme.
We are also committed to ensuring that all applicants can fully participate in the recruitment process. If you require any reasonable adjustments, please let us know by contacting us at [email protected]
We recognise that inclusion is an ongoing journey, and we regularly review and publish our diversity data, which can be accessed here.
People Driven. Legal Excellence.
