Compliance Solicitor

Compliance Solicitor

Location: Manchester, Bristol, Stratford-upon-Avon or Sheffield (Hybrid Working)

Contract: 3 Month Contract

Rate: Up to £475 per day (Umbrella)

Overview

We are seeking an experienced Compliance Solicitor to join a legal services organisation on an initial 3-month contract. This hybrid role will focus predominantly on the management, investigation and mitigation of professional negligence claims, while also supporting broader regulatory compliance and risk management activities.

The successful candidate will act as a subject matter expert on professional negligence matters, working closely with legal teams, operational stakeholders and senior leadership to investigate claims, identify trends, implement corrective actions and protect the business from regulatory and financial risk.

Key Responsibilities

• Lead the investigation and management of professional negligence claims from initial notification through to resolution.
• Assess liability, analyse legal and operational issues, and provide clear recommendations on claim strategy and risk exposure.
• Liaise with insurers, external solicitors, legal teams and senior stakeholders regarding professional negligence matters.
• Identify root causes of claims and complaints, implementing preventative measures and process improvements.
• Investigate regulatory breaches and incidents, preparing reports and recommendations where required.
• Advise on Solicitors Regulation Authority (SRA) Standards and Regulations, Principles and Codes of Conduct.
• Support complaints handling processes, ensuring appropriate escalation and resolution.
• Conduct file reviews and audits to identify areas of legal, operational and regulatory risk.
• Draft and review compliance policies, procedures and governance documentation.
• Support client onboarding activities, including conflict checks, client due diligence and AML queries.
• Assist with data protection matters, including DSARs, data breach investigations and deletion requests.
• Support regulatory reporting obligations and compliance framework activities.
• Provide guidance and support to Heads of Practice and legal teams on risk and compliance matters.

Requirements

• Qualified Solicitor with significant experience within an SRA-regulated legal environment.
• Extensive experience handling professional negligence claims and legal complaints.
• Strong understanding of claims management, liability assessment and risk mitigation.
• Working knowledge of Professional Indemnity Insurance (PII) processes and insurer engagement.
• Strong understanding of SRA Standards and Regulations.
• Experience investigating regulatory breaches and compliance issues.
• Good knowledge of data protection legislation and anti-money laundering regulations.
• Strong analytical, investigative and report-writing skills.
• Ability to influence senior stakeholders and provide commercially focused legal advice.

Desirable Experience

• Experience within legal risk, compliance or governance functions.
• Previous involvement in Professional Indemnity Insurance renewals and claims processes.
• Experience conducting compliance audits and file reviews.
• Knowledge of contractual governance and third-party due diligence.