Senior Compliance Officer

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Senior Compliance Officer

Application Deadline: 10 April 2026

Department: Risk and Compliance

Employment Type: Permanent - Full Time

Location: Bolton

Description

Senior Compliance Officer

Location: Horwich, Bolton
Hours: 35 per week, Monday-Friday
Division: Quality, Risk & Compliance
Reports to: Head of Risk & Compliance

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 Ireland, 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 in order that they can support client service delivery as well as meeting legal and regulatory expectations.

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 Responsibilities

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 legislative 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 the business 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. Attendance at all audits required.
• 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 management of GDPR/ DPA breaches, client and all other DSAR requests or subject rights requests, and liaison with the Group Privacy Team as and when required. A GDPR qualification of either Foundation or Practitioner would be desirable.
• 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.
• Client Audit: Supporting the broader business in preparation of client audits, ensuring compliance requirements are met and that any pre-audit questionnaires are completed prior to any audits. Attendance at any such audits as a representative of the Risk and Compliance Team.
• 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 relevant Technical Directors across the business to investigate any escalated client conflicts of interests or own interest conflicts of interest in accordance with the conflicts of interest / complex conflict processes and where 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 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. Day to day oversight and 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 Senior Compliance Officer will engage with, and be supported by, other members of the Risk & Compliance function in the management of the above portfolio. The Senior Compliance Officer will report directly to the Head of Risk & Compliance.

Skills, Knowledge & Expertise

The Senior Compliance Officer shall ideally have an experience and track record of working in a legal or risk & compliance role, and shall have the following experience & competencies:

• 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 ISO 9001
• A knowledge & understanding of the GDPR / Data Protection Act (2018) and ideally have undertaken an accredited GDPR Foundation and / or Practitioner course
• A knowledge & understanding of administration of insurance claims
• A knowledge & understanding of risk management
• Basic knowledge of FCA regulation would be beneficial but not essential
• Communication skills (verbal and written) with a proven ability to communicate in clear & concise terms
• Strong planning and organisation skills, with the ability to react business needs & risks, and to producing material in a timely manner.
• Keyboard skills & use of appropriate IT packages-Word / Excel / PowerPoint
• Teamwork-the ability to engage with the Technical Director and SFTs and to work together effectively in order to produce the necessary technical outputs
• 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.

Job Benefits

• Davies Incentive Plan
• 25 days holiday per year which increases with level of service (opportunity to buy & sell 3 days)
• Family Cover Private Medical Insurance ( Bupa) - will automatically be at single cover level but can opt into family option within first month of joining.
• Simply Health Care Cash Plan
• WeCare - 24/7 online GP, mental health support and virtual wellbeing covering a whole host of topics to do with health, mental health, wellbeing & healthy living and financial & legal wellbeing
• Death in Service
• Critical Illness Cover
• PHI/Income Protection ( Private health insurance)
• Pension Contribution based 5% Employee / 3% Employer
• Cycle to Work Scheme*
• Tech Scheme*
• Season Ticket Loan*
• Gym Flex*
• Access to Online Discount Sites
• Discounted Gourmet Society Membership
• Discounted Tickets for Merlin Attractions nationwide
• Discounts at local retail outlets

*after successfully completing probation