Compliance Risk Officer

3 weeks ago

Edinburgh, Edinburgh, United Kingdom deverellsmith Full time
Position Overview

As the Compliance Risk Officer at deverellsmith, you will play a pivotal role in ensuring that our operational practices align with applicable laws, regulations, and industry standards. Your commitment to ethical conduct will be essential in maintaining the integrity of our organization while implementing a robust regulatory framework encompassing policies, procedures, and systems.

Your proactive approach will keep you informed about evolving regulatory landscapes, allowing you to effectively communicate updates to the Executive Team.

Regular reviews of our organizational risk assessments will be part of your responsibilities, collaborating closely with the Executive Team to adapt our risk profile and implement necessary actions. Your strong analytical, monitoring, and reporting skills will be vital in conducting audits and preparing comprehensive reports for both Management and Executive Teams.

Continuous improvement will be at the forefront of your efforts as you seek to enhance compliance processes, ultimately benefiting both customer and employee experiences. You will provide expert guidance to Management and frontline teams, ensuring adherence to compliance standards while minimizing unnecessary bureaucracy.

Utilizing your exceptional communication skills, you will foster positive relationships with colleagues, professional contacts, clients, and customers. You recognize the significance of long-term professional relationships and will approach interactions with care, ensuring that our regulatory obligations are met.

In your role, you will simplify complex regulatory information for non-expert colleagues, ensuring that we fulfill our training obligations through engaging onboarding processes, regular refreshers, and tailored training sessions as needed. You will be responsible for creating content that is relevant, straightforward, and engaging.

As a Compliance Risk expert, you will also serve as the Health & Safety Competent Person and Data Protection Officer, fulfilling the responsibilities outlined by relevant regulatory bodies. You will conduct complex KYC and KYCB checks, collaborating with frontline teams and external professionals to facilitate these processes. Additionally, you will support senior management with the application and renewal of insurances, professional licenses, and regulatory registrations, ensuring that all information remains accurate and current.

Key Responsibilities:

  • Establishing, monitoring, and maintaining a comprehensive regulatory framework.
  • Accountable for the documentation and regular review of policies and procedures.
  • Preparing and reviewing the Company Risk Assessment quarterly, identifying and implementing necessary changes.
  • Ensuring that the Executive and Management Teams are aware of their regulatory responsibilities and the implications of non-compliance.
  • Designing and implementing audit and reporting procedures to monitor adherence to the regulatory framework.
  • Maintaining the highest standards of integrity, confidentiality, and professionalism in all dealings.
  • Completing AML KYC and KYCB checks for escalated cases and overseeing team compliance.
  • Managing applications, renewals, and updates for insurances and regulatory registrations.
  • Ensuring compliance-related content is current in legal documentation and agreements.

Learning and Development:

  • Providing a comprehensive training program for onboarding, annual refreshers, and ad hoc needs.
  • Ensuring employees have access to up-to-date training, policies, and procedures via the intranet.

Qualifications:

  • A degree in a relevant field or an AML-related qualification.

Experience and Skills:

  • A minimum of 5 years' experience in a Risk & Compliance role, preferably within financial services or property sectors.
  • In-depth knowledge of Data Protection and Consumer Protection legislation.
  • Expertise in AML regulations and KYC/KYCB processes.
  • Experience in client-facing roles.
  • Strong data analysis capabilities and proficiency in reporting.
  • Intermediate skills in Microsoft Teams, Word, Excel, PowerPoint, and Outlook.
  • Familiarity with residential sales and lettings processes in the UK.

Behavioral Competencies:

  • Customer-focused
  • Effective communication
  • Collaborative
  • Positive mindset
  • Strong planning and organization
  • Innovative problem-solving
  • Decision-making and risk management

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