Compliance Officer, Finance & Banking

As part of their growth and development plan, this leading Accountancy firm is seeking to appoint a skilled and experienced Compliance Officer to support the Partners in  ensure that the firm adheres to legal, regulatory, and internal standards, while also identifying, assessing, and mitigating risks. If you have experience and expertise in designing, reviewing, managing and adapting a comprehensive approach to compliance risk, we would like to hear from you Reporting to the Management Board, you will be responsible for ensuring that the firm complies with all necessary technical requirements of registrations and associated codes of conduct of the ICAEW.

You will appraise requirements and company practices to ensure risk management and reduction, regulatory compliance and operational efficiency.

Your role will cover Regulatory Compliance incorporating Audit Regulations and Guidance, DPB Handbook, Probate Regulations and Practice Assurance Regulations. In addition ensure compliance with AML, Proceeds of Crime, Bribery and Criminal Finance legislation as well as managing regulatory changes and assesses their impact on the firm. You will implement and manage policies that meet regulatory requirements for ethical conduct, client confidentiality, and reporting standards and ensure the  terms of engagement, schedules of services, standard terms and conditions and other formal external and internal terms are reflective of practical behaviours and suitably accurate so as to mitigate against risk of claim against the firm.

You will also manage and assess potential financial, operational, reputational, and compliance risks across client engagements and internal operations and identifying how practical processes should change in response and deliver guidance on identified risks and recommend and implement practical mitigation strategies. Furthermore you will have oversight of Client Due Diligence, incorporating KYC requirements and risk assessment, supporting commercial operations.

Applications are invited from accomplished Compliance professional with experience and expertise within the Accountancy sector. Ideally you will have passed Accountancy qualifications.  You will have a strong knowledge of Regulatory Standards and Corporate Governance and familiarity with regulatory standards including understanding of best practices in governance, internal controls and ethics. You will have the ability to assess complex risks, evaluate data, and make informed, practical recommendations, including where necessary, adapting, and responding in crisis management conditions.

This is an excellent opportunity to join a progressive and ambitious firm where your endeavours are recognised and rewarded.

Compliance, Monitoring, Accountancy, Professional Practice, KYC, AMLBy applying for this role, you agree that we will hold and process your details in line with our Privacy Policy. Our Privacy Policy and information about how we use data can be found on our website