Regulatory Legal Operations Manager

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Regulatory Legal Operations Manager/ Legal Engineer


9.30 am to 5.30 pm and as required-flexible applications considered

Working week:

Monday - Friday


Regulatory Investigations and Prosecutions Team

Purpose of job:

This will be a key role within the team to provide strategic and operational management support for a small selection of key clients, with a focus on driving and optimising performance, efficiency and profitability.   In particular, there will be a focus on innovation and the useful and compliant harnessing of legal tech and automation. 

Specific duties:                     

Operational (70%)

  • To lead and drive the performance of the Regulatory Investigations and Prosecutions Team in its delivery of legal and ancillary services to a small number of its key regulator clients.  This will include ensuring the timely and cost effective throughput of cases, ensuring and regulating case flow, as well as planning resources and workload to ensure effective use of available talent, in order to meet current business needs as well as to prepare for future opportunities
  • To coordinate and quality assure timely, accurate and compliant case updates to key clients and to collate areas for development or improvement
  • Utilise quality assurance strategies to identify, develop and share best practice, ensuring that recommendations and learning from audits, reviews and other feedback is taken forward and embedded in the department
  • To work with the internal Core Team responsible for these key client contracts to both enable and measure compliance with the Service Level Agreements
  • To engage externally with key client contacts to ascertain and understand their key operational requirements, and to be constantly aware of what is critical to quality for them
  • Assist in the training and engagement of key clients with any new technology/processes implemented
  • Analyse both historic and current data to identify risks and opportunities, identifying any areas for improvement and any operational issues or bottlenecks
  • To engage and work closely with the Regulatory Investigations and Prosecutions Team; to understand business operations, challenges, plans and priorities
  • Responsible for and/or supporting the partners in resource management decisions
  • To assist the partners in creating an environment of continuous quality improvement in the department
  • Be responsible for, with the support of the finance administrator, in ensuring effective utilisation, timely billing and on-going financial control, as well as periodical pricing and profitability reviews
  • To support the continuous review and improvement of key business processes and workflows, driving change to achieve greater efficiencies across the team 
  • Working with the partners, business engagement team and the firm’s senior management team to contribute to firm-wide process improvement projects and initiatives as well as project manage regulatory department initiatives; following a Lean Six Sigma methodology
  • To provide support when required on firm-wide continuous improvement projects

Innovation (30%)

  • Collaborate with the Firm-wide Innovation Team to identify opportunities for automation within both internal and client processes, assist in the procurement, piloting and deployment of any relevant tech, and measure its impact
  • To collaborate with our PMO, Business Analysts and In-house Developers in the on-going design and optimisation of our HighQ based client portals and to coordinate content
  • Actively engage with others both in the Department and Firm-wide to drive creative and disruptive change and to be an ambassador for the same.
  • Such other duties as may from time to time be required.

To apply for this role, please complete the online application form. For further information about this position please contact, in confidence, Natalie Slater (Recruitment Manager) at 

No agencies please

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