Risk, Quality & Compliance Manager, Banbury Office

Risk, Quality & Compliance Manager, Banbury Office

Posted by Carole Carbery, on September 14, 2021.

Posted 3 months ago

An exciting opportunity has arisen for a Risk, Quality & Compliance Manager to join our busy office in Banbury. This is a varied and interesting role and is ideally suited to an organised and dynamic individual with experience in a similar role.

Person Specification

  • Understands requirements of SRA, FCA, GDPR, POCA and BSI/Lexcel
  • Able to engage and influence
  • Able  to prioritise workload
  • Works well as a member of a team
  • Excellent communication and client service skills
  • Understands confidential nature of the environment
  • Pays attention to detail
  • Holds a flexible approach
  • Punctual, honest and trustworthy

Managed by RQC Committee:

  • COLP (Chairman)
  • COFA
  • MLRO
  • FCAO


  • Directors’, Business Review and Managers’ Meetings


  • Cross firm engagement/compliance
  • Avoid investigations/fines
  • Release others to perform
  • Reduce negligence claims
  • Control insurance premiums
  • Quality/client perception
  • Avoid fraud


Risk Management

  • Assist with achieving Lexcel accreditation initially.
  • Once Lexcel achieved, monitor the ongoing implementation of the Compliance Plan.
  • Monitor the reviewing of all policies and procedures required by the Compliance Calendar by those responsible.
  • Annual review of the content of the Compliance Calendar.
  • Manage the achievement of Lexcel re-accreditation in accordance with Lexcel scheme rules.
  • Maintain the firm-wide register of all policies and procedures


  • Liaising with relevant fee earners to update the firm’s standard terms of engagement to reflect legislative and regulatory changes
  • Dealing with annual practising certificate renewals
  • Updating the firm’s MySRA record as required with details of structural and/or personnel changes
  • First point of contact for conflict and other professional conduct enquiries


  • Ensure that compliance measures are implemented, and that there is a constant process of review and improvement
  • Provide regular compliance management review meetings
  • Own and undertake the compliance risk assessment used to inform and drive the compliance monitoring plan
  • Own and ensure that all tests detailed in the compliance monitoring plan are completed on schedule, to the required compliance standards and appropriate records are maintained
  • Be responsible for and ensure all compliance monitoring is tracked and monthly reports are provided, including a commentary on progress, for inclusion in monthly compliance reports to the Board and executive committee
  • Ensure that all compliance matters handled conform to the firm’s policies
  • Ensure all FCA reporting is escalated and completed on time through Gabriel and Connect management systems
  • Responsible for reviewing the FCA Handbook and familiarising  yourself with the different codes of practice e.g. SYNC and CONC   required to make changes to the business inline with FCA regulated requirements
  • Responsible for Complaint Handling, reporting
  • Compliance Training and competencies
  • Experience of writing policies and procedure manuals and overseeing their implementation
  • Ability to communicate clearly, both verbally and in writing, to all members of staff across the different locations of the business
  • Ability to draft reports in a clear and concise manner
  • Annual Renewal of Practising certificates

Data Protection

  • Dealing with the renewal of the firm’s data protection registration
  • Liaising with relevant fee earners and/or managers to ensure that the firm is compliant with current legislation
  • Initial consideration of subject access requests  and other requests for personal information, for example from local authorities investigating benefit fraud

IT & Information security

  • Ensure policies and procedures are aligned where practical to ISO27001
  • Provide Security awareness training for staff, updating and maintaining our existing policies and procedures in conjunction with IT Manager
  • Ensuring a suitable process for incident reporting.

Money Laundering

  • Training and implementation

Payment Card Industry Data Security Standard Compliance

  • Work with the accounts department, IT and fee earners to ensure compliance
  • Improve current processes to increase use of online payments and improve efficiency


  • Rolling training programme across all offices


  • Responsible with line management for staff implementation of policies

About Spratt Endicott

As a Top Tier Legal 500 firm, we have teams of specialist lawyers who help to protect our clients and their families, grow their business and achieve their personal goals. The firm takes pride in its solid reputation for excellence, and passion for developing the team’s expertise. We place high emphasis on the quality of our advice, our first class service and friendly professionals across our six offices. We are also fully supported by our service departments including Marketing, IT, Accounts, HR, Office Services and Compliance.

Working at Spratt Endicott

We can offer you a rewarding career built on continued growth, diversity and achieving the highest standards. You will be working in a collaborative, friendly, extended family environment that values its 140 employees and holds an enviable staff retention record.

Our Head offices are based in Banbury, with easy access by train, road, (just off M40) to surrounding areas, London, Birmingham and Oxford. We have three further offices in Bicester, Brackley and Buckingham. Our offices are a mixture of attractive modern and Grade II listed buildings, with the latest technology in IT and Communication systems.

What do we offer?

  • We offer competitive salaries, family friendly policies and a comprehensive benefits package including:
  • Annual pay reviews
  • Employee Wellbeing Programme
  • Family Friendly Policies
  • Pension scheme
  • 23 days plus bank holidays per annum (growing with service to 28 days plus bank holidays)
  • Free conveyancing and discounts on legal advice
  • Professional subscriptions paid
  • Sponsorship for professional qualifications
  • Free parking
  • Eye Tests/Flu jabs
  • Group Life cover
  • Long term Income Protection

How to Apply

To apply please forward a covering letter including your salary expectations together with your CV  to Carole Carbery, HR Manager, ccarbery@se-law.co.uk or contact Carole directly on 01295 204047.

Spratt Endicott is a committed Equal Opportunities Employer promoting equality of opportunity. This means that everyone who applies to or works for the company is treated equally, whatever their gender, race, age, ethnic origin, nationality, marital status, disability, sexual orientation or religious beliefs.

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