Senior Compliance Officer

Gateley; Birmingham; Hybrid; GBP 60,000 - 90,000; Full time

Job summary

Gateley seeks a Senior Compliance Officer to work with the Professional Regulation & Standards team to foster a culture of compliance and ethical excellence across the business. You will report to the Director and provide pragmatic regulatory advice, develop training, maintain policies, support reports, audits and file reviews, and handle compliance queries.

You will advise on conflicts of interest and ethics, support investigations, onboarding and due diligence, AML queries, and build strong

Qualifications

• Policy, controls and procedures maintenance.
• Guidance on regulatory and professional obligations.
• Assistance with investigations, audits and due diligence.

Responsibilities

• Review and update policies, controls and procedures for compliance.
• Support regulatory role holders to meet statutory and governance duties.
• Advise colleagues on regulatory and professional obligations.
• Advise on conflicts of interest and ethical issues.
• Support investigations into regulatory matters and maintain records/reports.
• Advise on client onboarding, due diligence and AML queries.
• Build relationships to promote a culture of compliance across the business.
• Identify regulatory risks and develop practical risk solutions.

Job description

As our Senior Compliance Officer, you will work closely with members of our Professional Regulation & Standards team, regulatory role holders and colleagues across the business to foster a culture of compliance, ethical conduct and professional excellence.

Reporting to the Director of Professional Regulation & Standards, you will proactively support the management of regulatory risk by providing clear and pragmatic advice to colleagues, developing training and awareness initiatives, maintaining policies and procedures, supporting with regulatory reports, undertaking audits and file reviews; and responding to compliance queries.

Key responsibilities

• Review, develop and maintain policies, controls and procedures to ensure they remain compliant, effective and aligned with business needs;
• Work with regulatory role holders to support them in complying with their statutory, regulatory and governance responsibilities;
• Provide expert advice and guidance to colleagues across the business, helping them to understand and meet their regulatory and professional obligations;
• Advise on a broad range of regulatory and compliance matters, including complex conflicts of interest and ethical issues;
• Support investigations into regulatory matters, breaches, complaints and incidents, ensuring that appropriate records, reporting and follow up actions are maintained;
• Act as a trusted adviser to the central Business Acceptance team, advising on difficult client onboarding, due diligence and anti-money laundering queries;
• Build and maintain strong relationships with colleagues across the business to promote and embed a culture of compliance and best practice;
• Identify emerging regulatory risks, escape issues where appropriate, and contribute to the development of practical solutions and risk