Head of Compliance Operations

2 weeks ago

Birmingham, United Kingdom Shakespeare Martineau Full time

**Head of Compliance Operations**:

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- Company:
- Shakespeare Martineau- Closing date:
- 27/08/2023- Term:
- Permanent- Working hours:
- Full-time- Team:
- Risk- Location:
- Birmingham- Let us introduce ourselves**Are you a Head of Compliance and looking for a change in a newly created role? Do you want to join our Risk & Compliance team and make a big impact across our firm? If so, we’d love to hear from you**

**We can offer you**:

- A competitive salary with great benefits including private medical, 27 days holiday plus bank holidays and a bonus day off for your birthday
- A varied workload supporting across a range of risk and compliance matters
- A culture of trust, empowerment and autonomy over your work
- The opportunity to join a vibrant, forward - thinking team with the support of friendly, approachable partners who encourage and support your career development
- Hybrid working with flexibility to own your diary
- Meet the teamOur Risk team of around 7 people is based in the Birmingham, London and Leicester offices. Reporting to the GLCO (Group Legal Compliance Officer), the team takes a proactive approach and works closely with the firm to manage risk, ensure compliance with legal and regulatory requirements and embed a best practice culture across our multiple offices.
- The opportunityWe have a brand new opportunity for a **Head of Compliance Operations** to join our **Risk** team.

You will be responsible for the effective and efficient delivery of regulatory compliance advice to our Group entities, as well as the leadership of our wider Risk & Compliance team.

This role would suit someone who is a qualified Solicitor and has experience in delivering regulatory advice, who takes a pragmatic and solution focused approach to solving problems. You’ll work with leaders of our group to ensure compliance issues are appropriately considered whilst undertaking the development of operational process and legal service delivery.

**You key duties will be**:

- Supervision and delivery of a guidance and advisory function to the Group on all aspects of regulatory compliance
- As directed by GLCO (Group Legal Compliance Officer), ensuring Group policies and processes are updated and reviewed to ensure that efficient and compliant legal and other services are delivered by group entities to clients
- Liaison with regulators as required
- Dealing with queries on behalf of the GLCO where requested or (if appropriate) in the absence of the GLCO
- Liaison with DPO, MLCO, MLRO and GISO (and Information Security team) on issues where they need to be involved
- Leading (in conjunction with MLCO) on AML policies, processes, guidance and audits
- Providing regulatory and compliance advice, alongside the GLCO if appropriate, to operational teams during change initiatives, including M&A activity
- Supervision of team’s responsibilities for liaison with learning and development activity to ensure regulatory and compliance training is delivered
- Ensuring the Group’s conflict policies and processes are reviewed and monitored
- Leading on all aspects of operational delivery of regulatory and compliance advice and guidance
- Leading on specific regulatory projects directed by the GLCO
- Deputising for the Shakespeare Martineau COLP and aspects of the GLCO role where required
- Working closely with the Risk Manager and/or GLCO on quality and risk framework initiatives including ISO 9001
- Depending on experience this role may also be the MLRO under MLCO guidance

**Skills and experience you will have**:

- Qualified Solicitor of England or Wales; registered European lawyer or Barrister regulated by the Bar Standards Board
- Experience in delivering regulatory advice
- Demonstrable experience of involvement in delivery of change projects
- Previous experience in a leadership role, managing a team

**Key competencies you will need**:

- The ability to take ownership and influence key stakeholders by taking a pragmatic and solution focused approach
- A high level of business acumen
- Excellent attention to detail and accuracy, as well as the ability to prioritise workload
- The ability to communicate effectively at all levels
- Resilient and able to work in a fast paced environment
- High level of technical knowledge appropriate to the role
- The ability to understand of a range of software tools commonly used in professional practice and in compliance arena
- How we workWe embrace agile working and offer a blended approach to where and how we work.

We appreciate that people have different needs and preferences and we’re keen to be flexible, after all, we value what you do, not where you do it.

We have hubs in Birmingham, Edinburgh, Leicester, Lincoln, London, Milton Keynes, Nottingham, Solihull, Stratford-upon-Avon and Sheffield. This role can be home or office-based in any of our hubs, with travel required once a month to our Birmingham hub, and occasional travel to any of our office hubs

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