This candidate is a qualified solicitor with extensive experience across risk, compliance, and regulatory matters in the legal and financial services sectors. A member of the International Compliance Association, this individual is currently working towards an advanced certification in anti-money laundering and brings a strong track record of managing complex investigations and regulatory frameworks within law firms and financial institutions.

In their most recent role at a top 100 UK law firm, the candidate operated as a Risk & Compliance Lawyer on a fixed-term contract. Responsibilities included responding to anti-money laundering and customer due diligence queries, advising on conflicts of interest, overseeing complaints and professional indemnity claims, and supporting firm-wide regulatory audits and Lexcel accreditation processes. Their work required close collaboration with the Solicitors Regulation Authority, Legal Ombudsman, auditors, and internal stakeholders to ensure full compliance with regulatory and professional standards.

Key Competencies:

• In-depth knowledge of legal regulatory compliance, AML, sanctions, and high-risk categories, including PEPs
• Strong experience managing and investigating complex complaints and claims within a legal environment
• Proven ability to advise on risk and compliance matters and escalate appropriately across law firm operations
• Demonstrated capability in responding to SRA and LeO requests and supporting firm audits
• Confident communicator, able to influence and build relationships across multiple departments and stakeholders
• Experience in reviewing and updating risk and compliance policies and procedures
• Background in legal risk management from both private practice and public regulatory bodies
• Skilled in analysing and handling large volumes of sensitive and regulated data

Legal Experience:

Risk & Compliance Lawyer | Top 100 UK Law Firm | 1 year
Legal Associate | International Insurance Company | 1 year
Compliance Officer | Boutique Insurance Brokerage | 1 year
Associate | Financial Regulator | 5 years
Team Co-ordinator | Financial Regulator | 2 years
Data Analyst | Financial Regulator | 1 year
Research Assistant | Global Professional Services Firm | 1 year
Trainee Solicitor | High Street Law Firm | 2 years
Paralegal | Top 50 UK Law Firm | 0.5 years
Paralegal | Silver Circle Law Firm | 0.5 years
Paralegal | High Street Law Firm | 1 year

Education & Qualifications:

Training Contract | High Street Law Firm
LPC | University
LLB (Hons) Law | University
ICA International Advanced Certificate in Anti-Money Laundering | The International Compliance Association

If you’re looking for experienced risk and compliance professionals with a strong legal and regulatory background, get in touch to discuss candidates like this.