Senior Compliance Officer

1 week ago

Bolton, United Kingdom Keoghs Full time

The Senior Compliance Officer will be responsible for the day-to-day management of a diverse and complex portfolio of issues that fall within the remit of the Risk & Compliance function, as allocated by the Head of Risk & Compliance and/or COLP. The Senior Compliance Officer will be responsible for managing portfolios across all jurisdictions and will take the lead on Northern Ireland and Scotland activities.
The Senior Compliance Officer will be responsible for ensuring the Compliance Officers have the support and technical guidance they require to fulfil their roles.
The Senior Compliance Officer shall be responsible for ensuring the smooth and effective operation of all aligned portfolios, working in unison with the COLP, Head of Risk & Compliance and the Compliance Officers or other members of the wider Risk & Compliance Team where there is a cross-over of responsibilities or portfolios and otherwise ensuring effective co-operation and inter-dependence across the Risk & Compliance Team in order to ensure optimum efficiency and effectiveness of the Risk & Compliance function. The Senior Compliance Officer will also support the wider Davies UK&I business area as and when required.

**Key Accountabilities**
- The Senior Compliance Officer role will be responsible for managing portfolios across all jurisdictions consisting of but not limited to:

- Regulatory Compliance. Working across the business to ensure full compliance with all relevant regulatory / legal requirements placed upon the business, under the Law Society of Northern Ireland, Law Society of Scotland and SRA, including Code of Conduct, Money Laundering, Tax Evasion, Modern Slavery, Bribery and Fraud Prevention. The Senior Compliance Officer will ideally have a working knowledge of the legislatory and regulatory frameworks in at least one of these areas and support the business in the development and deployment of policies and processes to ensure compliance with the same, providing guidance and support to the business in the management of any incident or issue that risks a potential breach of the same. Travel within these jurisdictions may also be required to support local teams.
- Support the Head of Risk & Compliance and/or COLP with ensuring Compliance Officers have the required support and training to fulfil their roles. In addition, supporting Compliance Officers with their progression and ensuring continued development. Providing applicable supervision and mentoring as agreed.
- Financial Crime. Oversight of money laundering queries and reporting, daily sanctions checking processes across Davies UK & Ireland and international on-going financial crime client checks.
- ISO9001. Oversight of all policies and procedures. Engaging across the business in the annual review and update of the same as required, together with the development of new policies / procedures as required in order to manage and mitigate business risk.
- Supplier Management. Oversight of the supplier management process to ensure effective management of all supplier due diligence processes, relevant risk-based supplier audit / review.
- Client Due Diligence: Supporting the management of new client due diligence processes to ensure regulatory compliance with client-on boarding and due diligence requirements. Supporting the preparation of responses to incoming client due diligence requests and questionnaires.
- Internal Audit: Supporting the delivery of the internal quality audit regime, undertaking allocated quality process audits and reporting upon audit outcomes, agreement of audit action plans and corrective actions.
- Insurance. Supporting the Head of Risk & Compliance on the annual renewal of all Keoghs insurance policies by assisting the completion of all necessary proposal forms, collation of supporting information & materials, performance of pre-renewal questionnaires and submissions to Insurers. Also acting as the central point of contact within the QRC team for the notification of all commercial insurance (Professional Indemnity, Office Combined, D&O, Crime, Loss Recovery, Cyber) and engaging with internal stakeholders in order to ensure all appropriate claims are submitted to brokers / insurers, and the progression of all claims notified engaging with the business in relation to the same, as appropriate.
- Training. Working with fellow Compliance Officers to develop the technical content of annual training across Davies UK and Ireland, supported by the L&D team as required in order to ensure the delivery of relevant QRC training via appropriate media (presentation / E-learning / video) to new staff at induction and as part of the annual QRC training schedule.
- Conflicts of Interests: Working with the Professional Indemnity Officers and relevant Technical Directors across the business to investigate any escalated conflicts of interests in accordance with the conflicts of interest / complex conflict processes and where required engaging with Client Account Managers

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