Compliance Officer in Birmingham

Overview

As Compliance Officer, you will support the Professional Regulation and Standards team to promote regulatory compliance across the business. You will help develop and maintain policies, provide practical guidance, and monitor compliance activities to protect clients and the firm. You will engage with colleagues across functions, escalate issues, and contribute to regulatory reporting and awareness. This role offers the chance to shape a strong compliance culture within a forward-thinking professional services group.

Pay / Benefits

• annual bonus
• Learn platform for development
• My Flex rewards package
• group personal pension
• healthcare
• cycle to work

Responsibilities

• Develop, review, and maintain policies and procedures to stay current and effective
• Provide practical compliance guidance and build strong cross-functional relationships to promote a positive compliance culture
• Identify and manage professional conduct and regulatory issues, escalating and recommending improvements
• Assist with reviewing conflicts of interest and client onboarding queries with Business Acceptance and stakeholders
• Support regulatory reporting, investigations, approvals, and notifications as needed
• Maintain regulatory registers and records
• Conduct file reviews, compliance monitoring, audits, and thematic reviews for adherence to policies and regulations
• Perform horizon scanning and prepare internal compliance bulletins and regulatory updates
• Develop understanding of legal, regulatory, and professional obligations (SRA, regulators, RICS, IPReg)
• Maintain confidentiality and information security to high standards

Key requirements

• Excellent oral and written communication for diverse audiences
• Strong interpersonal skills to engage across levels
• Strong organisational skills with ability to manage priorities and deadlines
• Analytical and problem-solving abilities with risk-based thinking
• Excellent IT skills (Word, Excel, PowerPoint) and ability to learn new systems
• Knowledge of legal/regulatory requirements for professional services
• Experience in a professional services environment with policies and controls (advantageous)
• Practical knowledge of iManage, Intapp, and 3E (advantageous)
• Ambitious, proactive, and eager to learn

• clear and concise communication
• interpersonal and collaborative mindset
• organized and detail-oriented
• Microsoft Office
• iManage
• Intapp

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