Head of Regulatory and Compliance Ethics

Job Title: Head of Regulatory and Compliance Ethics
Location: Hybrid Working – London NW3 / EC4M / Remote
Working Hours: Monday to Friday, 35-hour week (Flexitime)
Reporting to: Chief Governance & Sustainability Officer

Salary Range: £100,000 – 140,000

BKL is a Top 40 accountancy and advisory business supporting a diverse client base, from entrepreneurs and high-net-worth individuals to owner-managed businesses and multinational groups. With a legacy spanning over 130 years, we’ve evolved into a modern, purpose‑driven business that balances profit with impact.

We are proud to be a certified B Corp, reflecting our commitment to sustainability, transparency, and responsible governance. As a member of DFK International, we support clients locally and internationally with cutting‑edge expertise and a personal touch.

We believe all clients deserve the same level of care, innovation, and excellence.

The Head of Regulatory Compliance and Ethics is responsible for overseeing all regulatory and ethical compliance matters within the firm, ensuring adherence to the Institute of Chartered Accountants in England and Wales (ICAEW) regulations. This role includes monitoring and enforcing compliance policies, developing risk management frameworks, and fostering a culture of ethical behaviour across the organization. The ideal candidate will act as a key advisor to the leadership team, providing insights and guidance on regulatory compliance and ethical standards.

Regulatory Compliance

• Ensure the firm’s full compliance with ICAEW regulations, standards, and guidelines.
• Stay informed on changes to ICAEW regulations and communicate relevant updates to the firm’s leadership and teams.
• Oversee and conduct regular internal audits to ensure adherence to ICAEW regulations, identifying and rectifying any areas of non‑compliance.
• Develop, implement and maintain a comprehensive compliance framework in line with ICAEW standards.
• Manage the completion of all ICAEW Annual Returns.
• Serve as the primary contact for all ICAEW and FRC regulatory reviews.
• Ultimately be named as the Group’s Audit Compliance Partner, Practice Assurance Partner, Practice Compliance Partner, Ethics Partner and Bribery Officer.
• Ensure compliance with Designated Professional Body (DPB) regulations.
• Oversight of client money including compliance with the ICAEW Client Money Regulations.

Ethical Compliance

• Establish and promote ethical policies and procedures to maintain high standards of integrity and professional conduct.
• Advise and train staff on ethical best practices, helping them navigate complex ethical challenges in client engagements.
• Investigate any potential breaches of ethical standards and recommend corrective actions and improvements.
• Act as a trusted resource for employees on ethical issues, offering guidance on dilemmas and encouraging open dialogue on ethical concerns.

Risk Management

• Identify compliance risks and develop proactive strategies to mitigate potential issues, safeguarding the firm’s reputation and client relationships.
• Regularly assess compliance risks across all departments and update risk management strategies as needed.
• Involvement with any potential acquisitions and newly integrated businesses to assess and minimise any identified areas of risk.
• Collaborate with teams to implement corrective actions for any compliance risks or issues identified, tracking progress and ensuring resolution.

Policy Development and Enforcement

• Create, maintain, and update compliance policies, procedures, and documentation in line with ICAEW requirements and best practices.
• Conduct annual DPB reviews and report to the DPB contact partner.
• Ensure all employees are aware of compliance policies and procedures, providing regular training sessions and resources.
• Enforce compliance policies, addressing any non‑compliance promptly and effectively to minimise risk to the firm.

Training

• Develop and deliver training programs on ICAEW regulations, ethical standards, and compliance best practices.
• Foster a culture of compliance through ongoing education and awareness initiatives for all staff.
• Ensure all staff understand their…