This is a commercially minded risk and compliance professional with extensive expertise in anti-money laundering, counter-terrorist financing, sanctions regimes, and the Solicitors Regulation Authority’s Codes of Conduct. With a proven track record in policy development, regulatory audit readiness, and internal investigations, this individual has played a pivotal role in supporting and implementing firm-wide compliance frameworks in complex legal environments.

Currently working as a Senior Compliance Manager at a boutique law firm, this individual advises on a wide range of regulatory matters, including AML, sanctions, conduct rules, and professional indemnity. In this position, they act as a key point of contact for internal stakeholders across the UK and US offices and routinely liaise with legal regulators and external auditors. Responsibilities include delivering bespoke training, submitting reports to regulatory authorities, reviewing firm-wide risk frameworks, and providing guidance on complex client onboarding and conduct queries.

Key Competencies:

• Comprehensive knowledge of UK and international AML/CFT/CPF regimes, including regulatory expectations under LSAG and POCA
• Skilled in drafting and implementing firm-wide risk and compliance policies
• Experienced in managing internal audits, regulatory reporting, and audit preparedness
• Regularly engaged with the SRA, LSS, and other external regulatory bodies
• Able to confidently advise senior partners on AML and ethical conduct matters with a commercial lens
• Proficient in handling complex conflict checks, file opening process enhancements, and CDD/EDD for high-risk clients
• Provides firm-wide training on AML, sanctions, and evolving legal compliance requirements
• Participates in PII renewal processes and insurer engagement
• Supports regulatory implementation of new frameworks such as ECCTA
• Holds up-to-date professional qualifications from the International Compliance Association

Legal Experience:

Senior Compliance Manager | Boutique Law Firm | 1.5 years
Audit & Quality Manager | Boutique Law Firm | 2.25 years
Compliance Executive | Boutique Law Firm | 9 months
Compliance Administrator | Boutique Law Firm | 1 year

Education & Qualifications:

International Advanced Certificate in Anti-Money Laundering | The International Compliance Association
Internal Auditor for Compliance Management Systems | The International Compliance Association
MLRO/MLCO Masterclass | Private Training Provider
MA Security & International Law | University
BSc (Hons) International Relations & Diplomacy with Law | University

If your firm is seeking experienced legal risk and compliance professionals with strong regulatory knowledge and a proactive, business-aligned approach, get in touch to learn more about candidates like this.