Regulatory Compliance Manager/Senior Manager

Technical & Training
£60,000 to £80,000 Per Annum
Contract Type:
Full Time

Kristian Palmer

020 3225 6123

Are you a Regulatory Compliance Assistant Manager ready to make the move to Manager? Or are you an experienced Manager looking for your next challenge? Do you want to help shape and develop some major changes as the company goes through a period of growth? This is a newly created role with direct report to the Senior Partner.

Our client is a London practice firm, and they are looking for an experienced Compliance Manager to join their team to lead this function. There is the potential to flex to Senior Manager for the right candidate.

While this is a stand-alone role you will work closely with the Technical Compliance Manager and support the relevant FCA approved Partner's (CF10, CF11) in ensuring the firm's compliance along with reporting to ICAEW.

This is an exciting opportunity to really make this role your own, with suitable autonomy. You will also be supported by your own administrative assistant to give you time to be pro-active within the business.

The ideal candidate will have to have suitable experience in a Practice firm as you will be dealing with the ICAEW and FCA.

Your responsibilities will include;

  • Ensuring the firm's obligations and reporting requirements under ICAEW regulations are met
  • Managing internal CPD processes and reporting
  • Preparing the firm for and managing ICAEW Practice Assurance visits
  • Preparing the firm for and managing ICAEW Audit Assurance inspections
  • Completing and submitting annual returns to ICAEW
  • Keeping the firm and partner registrations with IACEW up to date
  • Generally liaising with the ICAEW on all relevant matters
  • Providing advice to partners on specific regulated matters as they arise
  • Managing the bulk annual renewal process
  • Ensuring that client account reconciliations are taking place
  • Managing and adopting new versions of assurance standards such as ISQM
  • Ensuring the firm have all necessary licenses in place for business operations
  • Planning and performing thematic and specialist compliance and assurance reviews across the business in respect of specific regulatory topics and issues.
  • Managing any external compliance and assurance auditors

As the successful candidate you will be expected to have;

  • Worked in either Policy, Compliance or Monitoring Background in a Professional Services Firm
  • Worked in an accountancy, consulting or other similar firm
  • Relevant Compliance qualifications, or be willing to work towards these
  • A good understanding of regulations that affect an Accountancy practice

If you are seeking Risk and Compliance Manager roles in London contact Austin Rose, the Risk and Compliance Recruitment Specialists.

Please apply on-line for immediate consideration. Once you have applied if you have any questions call 0203 22 55 060.

Please also note that due to the volume of applications, only those shortlisted will be contacted. If you have not received a response within two weeks, please assume your application for this role was unsuccessful.