Non-Equity Partner - Compliance Officer for Legal Practice - Tax - London

EY is a global network of professional services firms engaged in consulting, transaction, assurance and tax services with member firms in over 170 countries worldwide.  The UK firm of Ernst & Young LLP has over 900 partners and 20,000 employees. It is a multi-disciplinary firm regulated by the Financial Reporting Council for audit services, the ICAEW for tax services and the SRA for Law and Immigration services.

The Opportunity

We are seeking a Compliance Officer for Legal Practice (COLP), who will oversee, monitor and report on compliance with the SRA Standards and Regulations, including the Codes of Conduct, authorisation rules for recognised bodies/SRA, and related guidance. Six partners and some 200 employees provide services regulated by the SRA.

The COLP will be a senior, visible guardian of ethics, client protection, and professional standards, maintaining an effective system of controls and supporting the new EY All in Strategy by showing curiosity, intelligence and energy to deliver prompt, pragmatic, adaptable and commercial advice to all levels within our business.

Your key responsibilities

The work within the UK&I Tax and Law Quality and Risk Management team is highly varied and much of the work is at the cutting edge of business practice as the firm constantly finds innovative ways to help our clients’ businesses. 

This in-house role includes:

Regulatory governance & oversight

• Maintaining and continually improving the firmwide compliance framework for legal services, mapped to the SRA Standards and Regulations (including Code of Conduct for Firms and for Solicitors) and, where relevant, the SRA Authorisation of Firms Rules (including ABS/MDP requirements).
• Establishing clear lines of responsibility and second‑line monitoring for legal practice risks (client care, conflicts, confidentiality, undertakings, competence, supervision, complaints, publicity/transparency, referrals/introductions, outsourcing, and information security).
• Ensuring the firm’s structure, ownership and managers remain compliant with authorisation conditions; promptly notify and manage any changes (e.g., ownership, managers, HoLP/HoFA equivalents, office addresses, reserved legal activities).

Systems & controls

• Designing and maintaining proportionate policies, procedures, and MI for legal services, ensuring they are understood, applied, and evidenced across practice groups and shared services.
• Operating an effective breach management process (capture, triage, root‑cause analysis, remediation, and lessons learned), including a breaches register and criteria for materiality assessment, with timely SRA reporting where required.
• Overseeing quality assurance, including file reviews, supervision arrangements, and competence/CPD monitoring aligned to the SRA Statement of Solicitor Competence.
• Ensuring compliance with SRA Transparency Rules (website disclosures, complaints information, pricing where applicable, and use of SRA digital badge).

Multi‑disciplinary practice (MDP/ABS) specifics

• Ensuring robust separation and governance of legal vs non‑legal services and any reserved vs unreserved activities; maintaining appropriate information barriers and conflicts controls where the firm provides multiple professional services to the same client.
•  Coordinating with other regulatory functions and co‑regulators (ICAEW and FRC) to prevent regulatory perimeter breaches and ensure consistent, non‑conflicting controls.
• Approving and monitoring inter‑disciplinary engagements, marketing, and cross‑referrals to manage conflicts, independence, and client disclosure/consent obligations.

Client and matter lifecycle

• Overseeing client engagement terms for legal services (scope, capacity, conflicts, confidentiality, complaints, governing law, limitation of liability) and ensure risk clauses align with SRA standards and firm PI insurance conditions.
• Ensuring matter opening processes include compliant conflict checks, competence/capability assessment, supervision planning, and (where relevant) foreign law/overseas practice risk controls.

Financial crime & data protection coordination

• Working in close partnership with the MLRO to align SRA duties with AML/CTF controls (CDD/EDD, sanctions, suspicious activity handling, tipping‑off avoidance, client risk assessment).
•  Liaising with the Data Protection Officer on client confidentiality, LPP/Litigation Privilege, information security, and incident response where data and professional obligations intersect.

Complaints, claims, and engagement with regulators

• Overseeing the complaints framework for legal services (incl. signposting to the Legal Ombudsman), monitor trends, and ensure fair outcomes and prompt remediation.
• Acting as principal contact with the SRA for notifications, investigations, thematic requests, periodic returns, and practising certificate/authorisation matters; prepare self‑assessments and attestations required by the SRA.
• Coordinating with insurers and the Risk/GC function on claims, potential claims, and notifiable circumstances relevant to legal services.

People, culture, and training

• Championing a speak‑up culture and visible leadership on ethics and professional standards.
• Setting and tracking mandatory training completion (SRA ethics, client care, conflicts, confidentiality, complaints handling, financial crime awareness, information security, supervision) with targeted interventions for higher‑risk teams.
• Ensuring competence and supervision standards are embedded (including for consultants, secondees, and overseas lawyers involved in UK legal services).

Reporting & MI

• Working with UK&I Leadership covering breaches and trends, training completion, audit outcomes, complaints/claims, AML liaison themes, transparency rule compliance, and open regulatory actions.
• Table material risks and decisions at the appropriate governance forum with clear options, impact analysis, and recommended mitigations.

Key relationships

Managing Partner/Board; General Counsel; Tax & Law Quality and Risk Management; MLRO; COFA/Finance; DPO/InfoSec; HR/Learning; Head of Tax and Law Service Line; Marketing/Business Development; Internal Audit and external counsel. 

Skills and attributes for success

• Strong team player with excellent negotiation and communication skills. 
• Demonstrable commitment to the attributes of our highest performing teams – focus on results, accepting of accountability, committed, embraces healthy conflict, builds trust.
• Keeps calm and copes well with conflicting and ever-changing deadlines.
• Ability to lead, provide a view, take responsibility and ownership of issues, including an ability to take difficult decisions and provide substantiated arguments.
• Commercial awareness of the business issues facing EY as we evolve, coupled with an active desire to get alongside our business, offering legal insight and support.

To qualify for the role, you must have

• 10 or more years of post-qualification legal experience.  
• Demonstrable experience of SRA Standards and Regulations, law firm governance, and risk/compliance frameworks.
• Strong understanding of conflicts/confidentiality, complaints handling, supervision standards, and legal professional privilege.
• Familiarity with AML/CTF controls (working with MLRO), data protection, and information security in legal practice.

Ideally, you’ll also have

• Proven ability to establish a high degree of credibility, respect and trust at all levels, including with senior members of the firm, some of whom have a considerable understanding of the law and SRA regulations.
• Experience engaging with co‑regulators (e.g., ICAEW/FCA) and international member‑firm networks.
• Exposure to legal accreditations (e.g., Lexcel, ISO standards) and quality assurance programmes.

What we look for

A self-starter, adept at responding promptly/juggling deadlines who actively looks to build relationships based on trust and confidence.

What working at EY offers

We offer a competitive remuneration package where you’ll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer:

• Support, coaching and feedback from some of the most engaging colleagues around
• Opportunities to develop new skills and progress your career
• The freedom and flexibility to handle your role in a way that’s right for you

EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. 

About EY

As a global leader in assurance, tax, transaction and advisory services, we’re using the finance products, expertise and systems we’ve developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. And with a commitment to hiring and developing the most passionate people, we’ll make our ambition to be the best employer a reality.

If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible.

Join us in building a better working world.