Senior Compliance Officer

Job Description

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 SeniorCompliance 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 report directly to the Head of Risk & Compliance.Key ResponsibilitiesThe 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 developmentand deployment of policies and processes to ensure compliance with the same.
• 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. Providingapplicable 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.
• GDPR / DPA compliance. Working with Compliance Officers to ensure the ongoing compliance with all elements of GDPR / DPA, development and implementation of appropriate policies and procedures to manage and mitigate GDPR risks and recording and managementof GDPR/ DPA breaches, subject information requests and liaison with the Group Privacy Team as and when required. A GDPR qualification of either Foundation or Practitioner would be desirable.
• 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 requestsand 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 questionnairesand 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 stakeholdersin 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 andwhere required engaging with Client Account Managers and the applicable legal regulator 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 identifiedrisks 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.

Working Hours35 hours per week, Monday - Friday 9am - 5pm with 1 unpaid hour for lunch. Primary location for this role is Parklands BoltonEssential Skills and Attributes:

• A knowledge and understanding of Law Society of Ireland and Scotland regulatory requirements
• A knowledge & understanding of Risk & Compliance policies & procedures
• A knowledge & understanding of the GDPR / Data Protection Act (2018) and ideally have undertaken an accredited GDPR Foundation and / or Practitioner course
• Basic knowledge of FCA regulation would be beneficial but not essential
• The ability to work in a secure, sensitive & confidential environment.
• In performing the tasks necessary of the Senior Compliance Officer, shall at all times display and represent the aims and objectives of the QRC team and shall act in such a manner as to correctly represent the QRC team across the business.

ValuesOur culture is focussed on making Keoghs sustainable and successful for our people and clients, with this our four values are at the heart of everything we do; We are connected We are DynamicWe are Innovative We succeed together