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Compliance Officer

2 weeks ago

Bolton, United Kingdom Keoghs Full time

The 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 from by the Head of Risk & Compliance and/or COLP.
The 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 other members across the Risk & Compliance Team. Where there is a cross-over of responsibilities or portfolios 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 Compliance Officer will also be required to support the wider Davies UK&I business area.

**Key Accountabilities**
- KEY RESPONSIBILITIES
The Compliance Officer role shall include but not be limited to managing portfolios consisting of:

- Regulatory Compliance. Working across the business to ensure full compliance with all relevant regulatory / legal requirements placed upon the business, including SRA Code of Conduct, Money Laundering, Tax Evasion, Modern Slavery, Bribery and Fraud Prevention. The Compliance Officer will have a working knowledge of the legislatory and regulatory frameworks in 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.
- 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. Working with the Legal Information Manager to ensure effective management of supplier due diligence processes, relevant risk-based supplier audit / review.
- Client Due Diligence. Supporting the management of new and on-going 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. 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.
- QRC Training. Working with fellow Compliance Officers to develop the technical content of all annual QRC training, 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 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 and the SRA ethics team in relation to the same.
- Client Contracts. Working with the COLP and Client Account Managers (CAM) to review draft client contracts as part of tender /sales processes in order to identify risk issues and to engage with relevant parts of the business in relation to all identified risks in order to assess the businesses ability to manage or mitigate such risks, and thereafter to work with the CAM / bid team in order to recommend edits / amendments to draft contracts for negotiation with the client.
- Risk Registers. Assisting with recording, escalating and managing risk registers across Davies UK & Ireland, including organising of and attendance and minute taking at quarterly risk reviews. Working with the business areas to help mitigate risks identified.
- Mergers & Acquisitions. Assisting in due diligence and integration work and projects in conjunction with the M&A Compliance team as and when required.
- Assisting the Head of Risk & Compliance and Chief Risk & Compliance Officer with ad-hoc projects and requests across Davies UK & Ireland.
Adhere to Davies Values at all times
The Compliance Officer will engage with, and be supported by, other members of the Risk & Compliance function in the management of the above portfolio. The Compliance Officer will report directly to the Head of Risk & Compliance.
Working Hours
35 hours per week
Monday -