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, escape issues where appropriate, and contribute to the development of practical solutions and risk

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