EXCLUSIVE: HEAD OF COMPLIANCE & RISK FOR FIRM OF ACCOUNTANTS – ACCOUNTANCY/LAW FIRM IN HOUSE COMPLIANCE EXP (OR CHARTERED ACCOUNTANT WITH FIN SERVICES AML OR COMPLIANCE EXP) REQUIRED
Jobster City Of London, England, United Kingdom
£100K - £120K + bens & bonus
Hybrid (Baker Street/Finchley Road area)
Ref:4164D
* Manage all ICAEW requirements (full training provided if not covered before)
* Ensure all internal processes and controls are in line with all regulations and practice assurance obligations.
* Oversee the process for ongoing Anti‑Money Laundering reviews.
* Work with HR to ensure the relevant employee compliance training is carried out and logged (e.g. AML, Criminal Finances, GDPR, anti‑bribery).
* Work with department heads to ensure CPD is carried out in line with Practice Assurance obligation.
* With Operations, ensure all internal processes and procedures are compliant with GDPR regulations & manage all subject access data requests.
* Work with and coordinate key stakeholders in the business to prepare for any external inspections which are carried out in relation to the above areas.
* Oversee the onboarding process for all new clients in relation to Anti‑Money Laundering regulations, independence checks, conflict of interest issues and all other relevant risk assessments and engagement liability caps.
* Implement a process to elevate ‘higher‑risk’ clients/situations to the Compliance Partner.
* Taking ownership of the disaster recovery plan, admin breaches and complaints.
* Preparing & communicating compliance & risk updates through oral and written reporting.
* Maintaining an oversight and control of any outsourced functions to ensure compliance within UK regulations.
* Leading on compliance due diligence throughout any acquisition and merger processes.
* Research & advise when any ethical issues need to be resolved (at Senior Partner level, especially if loss to firm or reputational risk at stake) and set up & maintain whistleblowing protocols to at least minimum expected standards.
Candidates must have held a relatively senior in‑house Compliance role before whether from an Accountancy firm or from a similar Professional Services firm (e.g. a Law Firm). Our client will also consider UK‑qualified Chartered Accountants from AML/Compliance/Consultancy roles in any Regulated Sector (e.g. Financial or Payments Services) if willing to quickly pick up the specific regulatory requirements that apply to an Accountancy firm if not covered before (outside of studies). Either way you should have experience of reviewing and enhancing processes & controls, advising on both current regulatory needs & proposed regulatory changes and some knowledge of AML and GDPR requirements. The role is 3d pw in the office (4d pw for first 3 months whilst training etc) based in a pleasant open‑plan office by a local tube station and close to both Baker Street/Marylebone & Finchley Road/West Hampstead stations (and on many bus routes). Usual benefits include 5w holiday & good social activities.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no). Please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
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