Senior Compliance & Regulatory Risk Advisor

Gateley Plc; Birmingham; On-site; GBP 55,000 - 75,000; Full time

Benefits offered by this job

Annual bonus

Learn platform

My Flex rewards package

Job summary

Gateley Plc in Birmingham is recruiting a Senior Compliance Officer to join the Professional Regulation & Standards team. You will provide pragmatic compliance guidance, develop training, and maintain policies to support regulatory risk management across the business.

You will work with regulatory role holders, manage regulatory enquiries and contribute to investigations, while helping to promote a culture of compliance and high professional standards.

Qualifications

• Minimum two years' experience in regulatory, risk or compliance role within professional services, regulator or similar environment.
• Excellent oral and written communication, ability to produce clear reports, guidance and policies.
• Strong organisational skills, ability to manage priorities, meet deadlines, with accuracy.
• Well-developed relationship-building skills to influence colleagues at all levels.
• Excellent IT skills; proficient in Microsoft Office and document management systems.
• Knowledge of legal/regulatory requirements applicable to professional services (SRA framework) and ability to apply commercially.
• Proactive, able to challenge constructively and drive improvement.
• Experience with confidential information handling with discretion and integrity.
• Experience with iManage, Intapp and 3E accounting systems is advantageous.
• Ambitious, proactive, and keen to learn.

Responsibilities

• Review, develop and maintain policies, controls and procedures to stay compliant and aligned with business needs.
• Support regulatory role holders to ensure compliance with statutory, regulatory and governance responsibilities.
• Provide expert advice and guidance to colleagues on regulatory and professional obligations.
• Advise on a broad range of regulatory and compliance matters, including conflicts of interest and ethical issues.
• Support investigations into regulatory matters, breaches, complaints and incidents; maintain records and follow-up actions.
• Advise on client onboarding, due diligence and anti-money laundering queries for the central Business Acceptance team.
• Build and maintain relationships across the business to promote a culture of compliance and best practice.
• Identify emerging regulatory risks and contribute to risk mitigation initiatives.
• Plan and undertake compliance monitoring activities, audits and file reviews with high-quality reporting.
• Undertake file reviews to assess compliance with policies and procedures.
• Develop training and communications on regulatory updates and best practice.

Skills

Regulatory compliance

Risk management

Communication skills

Organisational skills

Relationship building

IT skills

Discretion and integrity

Tools

iManage

Intapp

3E accounting

Job description

Gateley Plc in Birmingham is recruiting a Senior Compliance Officer to join the Professional Regulation & Standards team. You will provide pragmatic compliance guidance, develop training, and maintain policies to support regulatory risk management across the business.

You will work with regulatory role holders, manage regulatory enquiries and contribute to investigations, while helping to promote a culture of compliance and high professional standards.