TPF Recruitment is delighted to be supporting a highly respected professional services firm in their search for an experienced Ethics & Compliance Manager.
This is a pivotal role within the organisation, offering the opportunity to shape and safeguard ethical standards, regulatory compliance, and risk management across the firm.
The Opportunity
As Ethics & Compliance Manager, you will work closely with Partners and senior leadership to ensure the business meets its regulatory, ethical, and professional obligations. You’ll act as a trusted advisor on complex matters, helping to maintain the firm’s integrity and reputation.
Key Responsibilities
Your role will include, but is not limited to:
1. Acting as the first point of contact for ethical queries, providing clear, practical guidance to staff and partners
2. Identifying, managing, and resolving conflicts of interest, including appropriate documentation and escalation
3. Supporting dispute resolution through ADR, mediation, or other appropriate approaches
4. Reviewing engagement terms and scopes to ensure risks are properly assessed and mitigated
5. Managing client complaints, ensuring timely, professional resolution
6. Overseeing staff grievance and disciplinary processes in line with internal procedures
7. Liaising with professional regulators such as Institute of Chartered Accountants in England and Wales, including handling complaints and compliance reviews
8. Managing relationships with professional indemnity insurers, including renewals and claims
9. Reviewing contracts and advising on associated risks
10. Supporting responses to regulatory enquiries and compliance matters
11. Applying and advising on Financial Reporting Council Ethical Standards and the IESBA Code of Ethics
12. Assisting with legal and court-related processes when required
13. Ensuring full compliance with AML regulations and internal controls
14. Maintaining accurate compliance records, reports, and documentation