Overview
In this role you will strengthen Gateley’s culture of compliance, providing practical guidance on regulatory obligations and risk management. You’ll support policy maintenance, training, and investigations while partnering with the Professional Regulation & Standards team and business units. You’ll help with onboarding, due diligence, and anti-money laundering queries, driving timely, compliant decisions. This is a chance to shape how regulatory requirements are applied in a professional services context and contribute to trusted client service.
Pay / Benefits
- annual bonus opportunity
- learning and development via Learn platform
- My Flex rewards package
- annual leave with option to purchase extra days
- cycle to work
- employee assistance programme
Responsibilities
- Review and update policies and controls to stay compliant and aligned with business needs
- Support regulatory role holders in meeting statutory, regulatory, and governance duties
- Provide clear, practical regulatory guidance to colleagues across the business
- Advise on regulatory matters including conflicts of interest and ethical issues
- Assist investigations into breaches, incidents and complaints with proper records and follow-up
- Advise on client onboarding, due diligence and AML queries to the central Business Acceptance team
- Build relationships across the business to embed a culture of compliance
- Identify emerging regulatory risks and contribute to mitigations
- Plan and conduct compliance monitoring, audits and file reviews with high-quality reporting
- Develop training materials and regulatory communications to promote best practice
- Undertake file reviews to assess policy and procedure compliance
Key requirements
- Minimum of two years’ experience in regulatory, risk or compliance within a professional services business, regulator or similar environment
- Excellent oral and written communication, ability to produce high-quality reports and guidance
- Strong organisational skills and ability to manage competing priorities with accuracy
- Well-developed relationship-building and influencing skills across levels
- Excellent IT skills and proficiency in Microsoft Office; experience with document management systems
- Solid understanding of legal and regulatory requirements for professional services (including the SRA framework) and ability to apply them commercially
- Proactive, able to challenge constructively and drive improvements
- Ability to handle confidential information with discretion
- Experience with iManage, Intapp and 3E accounting system would be advantageous
- Ambitious, initiative-driven and eager to learn
- communication
- relationship-building
- initiative
- Microsoft Office
- document management systems
- SRA regulatory framework understanding
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.
