Senior Compliance Officer

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, escalate issues where appropriate, and contribute to the development of practical solutions and risk mitigation initiatives;
• Plan and undertake compliance monitoring activities, audits and file reviews, producing high-quality reports and recommendations where required;
• Undertake file reviews or similar to assess compliance with our policies, controls and procedures;
• Develop training and guidance materials, regulatory updates and communications to promote compliance and best practice;

Candidates will be able to demonstrate the following:

• A minimum of two years' experience in a regulatory, risk or compliance role within a professional services business, regulator or comparable regulated environment;
• Excellent oral and written communication skills, with the ability to provide clear, practical advice and produce high-quality reports, guidance, policies and other written communications;
• Strong organisational skills, with the ability to manage competing priorities, work to tight deadlines and maintain a high level of accuracy and attention to detail;
• Well-developed relationship-building skills, with the ability to collaborate effectively and influence colleagues at all levels of the business;
• Excellent IT skills, including proficiency in Microsoft Office applications and experience of document management systems;
• A strong understanding of the legal and regulatory requirements applicable to professional services businesses (including the SRA framework), together with the ability to interpret and apply those requirements in a commercial environment;
• A proactive approach, with the confidence to challenge constructively at all levels, identifying areas for improvement and helping to drive positive change;
• Ability to deal with confidential, sensitive information with discretion and integrity;
• Experience of using iManage, Intapp and the 3E accounting system would be advantageous; and
• Ambitious for success, with a strong sense of initiative, a positive 'can-do' attitude and willingness to learn.