Senior Compliance & Regulatory Risk Advisor

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

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