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;
Professional Regulation and Standards is a growing team that undertakes a broad range of activities to support the business to operate within its regulatory frameworks. The team is motivated and ambitious, seeking to develop its proposition and attract like-minded individuals to work with
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.
About You
About Us
With support, coaching and feedback from some of the most engaging colleagues around our great development and progression opportunities will reward your commitment and loyalty. We offer a competitive remuneration package where you'll be rewarded for your individual performance with an opportunity to receive an annual bonus.
In addition, we have a wide range of learning and development opportunities via our Learn platform to develop new skills and progress your career. Our My Flex comprehensive rewards package includes options covering annual leave (and the benefit of purchasing extra days), cycle to work, critical illness benefit, employee assistance programme, group personal pension, health care, season ticket loan and many more benefits (grade dependent). Finally, with Perks At Work/Home you can select a host of retail benefits that suit your needs alongside a Community Online Academy, free courses for all from fitness to coding to languages to hip hop dance.
We are Gateley
We are forward thinking and straight talking, our approach is to find solutions to the problems that our clients face. Gateley is a legal and professional services group, we are a group of formidable experts in all areas of law and business. Passionate problem solvers, we get our kicks from finding the right answers and getting our legal and business clients where they need to be. We support more than 5,700 active clients, ranging from FTSE 100 companies to private individuals, in the UK and beyond. Being part of Gateley is not just about the expertise that you bring; it's about attitude too.
The 'Gateley Story' is the story of our people and our culture. It is what has got us to where we are today as a successful business and it's the driving force behind the Gateley Team Spirit and the values that have shaped it. We have a set of shared internal values that capture what the Gateley Team Spirit is and this includes five elements that bind us all together as one Gateley: Ambitious for Success, Forward Thinking, Room to Breathe, Trusted to Do and Working Together. Every year across the group, we recognise members of our team that have gone and above and beyond and have lived these shared values. They are recognised at our annual Gateley Team Spirit awards.
Diversity, inclusion and well being
Diversity, inclusion and well-being is an important part of Gateley's culture and values. We recruit talented people from a diverse range of backgrounds and cultures, providing equal opportunities for all to join our team regardless of age, sex, race, sexual orientation, disability, or culture.
We are proud to have been recognised by The Law Society as gold standard for our Diversity and Inclusion Charter and to be Stonewall Diversity Champions.
Additional Information
If you are successful in receiving an offer of a role with our company a variety of pre-employment screening checks will be completed. Our screening checks can include but are not limited to your eligibility to work, professional and academic qualifications, any criminal records, your financial stability, and references from previous employers. The screening that takes place will be relevant to your role and will vary from role to role.
Senior Compliance Officer in Birmingham employer: Gateley
Gateley Group is an exceptional employer, offering a dynamic work environment in Birmingham with a strong focus on employee development and well-being. With a commitment to diversity and inclusion, employees benefit from flexible working arrangements, comprehensive rewards packages, and numerous learning opportunities that foster both personal and professional growth. Join a forward-thinking team that values collaboration and innovation, where your contributions are recognised and celebrated.
