Senior Compliance Officer

As our Senior Compliance Officer, you will work closely with colleagues in our Professional Regulation & Standards team to promote best practice standards across our business and compliance with applicable regulatory obligations.

Reporting to the Head of Professional Regulation & Standards, you will support our regulatory role holders and the wider business in promoting a culture of high ethical conduct to minimise risk, and to improve standards and awareness.

Working with colleagues, you will be proactively mitigating regulatory risks by providing advice, supporting on training initiatives, updating policies, conducting audits and answering queries.

Key responsibilities include providing support to our COLP and COFA by:

• Keeping our policies, controls and procedures compliant and relevant.
• Supporting our regulatory role holders in meeting their legislative and regulatory responsibilities.
• Assisting the wider business (both client facing and business support) in understanding and meeting their regulatory obligations.
• Providing advice on queries involving regulatory issues including conflicts of interest.
• Building and maintaining relationships with colleagues across the business to promote and embed a culture of compliance.
• Escalating issues and concerns to the wider Professional Regulation & Standards team and sharing ideas and solutions to mitigate risk.
• Performing specific auditing tasks, file reviews and reporting findings.
• Preparing training materials, bulletins and communications to the business to promote best practice.
• Helping to maintain accurate records and registers to evidence risk-mitigation and decisions involving regulatory matters.
• Supporting with preparation of meeting agendas, information packs and minutes.
• Providing advice to our business acceptance teams and Internal Audit function, as necessary.
• Maintaining current knowledge of the various legal and regulatory requirements applicable to our business.

Our Professional Regulation & Standards team is growing to support a broad range of business activities and client services. The team is made up of individuals who are motivated and ambitious to develop its proposition and is looking for like-minded colleagues to work with.

Candidates will be able to demonstrate the following attributes:           

• A minimum of two years’ experience of working in a regulatory role within a professional services business or with a relevant regulator (e.g. law firm, surveying business or other relevant regulator);
• Excellent oral and written communication skills, with the ability to produce clear, well-drafted communications and documents;
• Excellent organisational skills, with the ability to prioritise and also be flexible, and work to tight deadlines whilst maintaining high standards and attention to detail;
• Well-developed collaboration skills;
• Strong IT skills (Excel, Visio, Powerpoint, High Q etc);
• Excellent knowledge of legal and regulatory requirements applicable to professional services businesses;
• Ability to deal with confidential, sensitive information with trust and integrity.
• Ambitious for success, with a strong sense of initiative, a positive ‘can-do’ attitude and willingness to learn.