Compliance Officer

Overview

In this role you safeguard the firm’s regulatory & ethical integrity while driving effective risk management. You will partner with the Management Board to ensure ICAEW and related regulatory codes are met and translate regulatory changes into practical, implementable controls. You will lead policy development, client due diligence, and risk assessment across engagements and operations. This position offers a chance to shape governance practices within a progressive, ambitious firm committed to compliant, efficient service delivery.

Responsibilities

• Ensure compliance with ICAEW requirements and associated codes of conduct
• Appraise regulatory needs and align company practices to manage risk and improve operations
• Oversee Regulatory Compliance including Audit Regulations, DPB Handbook, Probate Regulations and Practice Assurance Regulations
• Manage AML, Proceeds of Crime, Bribery and Criminal Finance regulations and monitor regulatory changes
• Develop, implement and maintain policies for ethical conduct, client confidentiality and reporting standards
• Ensure terms of engagement and service agreements reflect practical behaviours and mitigate risk
• Identify and assess financial, operational, reputational, and compliance risks and advise on mitigation
• Oversee Client Due Diligence (KYC) and risk assessment to support commercial operations

Key requirements

• Experience in compliance within the Accountancy sector
• Strong knowledge of Regulatory Standards and Corporate Governance
• Ability to assess complex risks, analyse data, and make practical recommendations
• Crisis management and adaptable when responding to regulatory change
• Ideally Accountancy qualifications

• analytical thinking
• practical judgment
• clear communication
• AML
• KYC
• regulatory change management

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