Compliance & Policy Manager - 3 days

City of London
£50000 - £70000 per annum + Benefits (Pro Rata - 3 days)
17 Sep 2013
15 Oct 2013
Alison Keogh
Contract Type
Full Time

This is a brand new role introduced by the firm to ensure that compliance, internal procedures, processes and procedures are completed, implemented and developed or new systems and policies are out into place. This firm of accountants does not currently have anyone in place who advises the Partners on the processes or procedures and although they have gotten this far without it, since they have grown and at the rate the ICAEW legislation is changing in order to be a "member firm" they need someone in place to Audit this effectively.
You will ideally be working in a similar role, or have been working within compliance and risk so your mind works in this way already, but be looking for 3 days a week and an easier, non-client facing role.

Ideally you will be:
" ACA qualified with a good academic record, 10 years+ post qualification experience;
" Up to date knowledge of the ICAEW rules
" Strong knowledge of compliance and risk within a Practice environment and an ability to think of practical issues
" Some previous experience of developing/updating procedures
" Problem solving skills
" Influencing and persuasive skills are required to communicate the issues and solutions to Partners and staff
" Strong written communication skills - able to write clear and concise instructions
" Self-sufficient and self-motivated, this is a standalone role and you will largely manage your own workload

Duties will include;
" New client take-on, including Anti Money Laundering requirements
" On-going client due diligence
" Client account opening and controls in place regarding client's money
" Designated Professional Body matters as a member of the ICAEW
" Engagement letters
" Collation and review of ERA (Exempt regulated activities) questionnaires
" Documentation of a risk assessment for clients (currently under development)
" Identify any non-compliant areas and make recommendations to Partners to remedy
" Advise and keep procedures/processes up to date
" Produce any relevant internal reports around compliance
" Educate Partners and staff on any compliance/internal requirements with an approachable manner
" Identify any relevant technical training needs for staff and develop training to address these (either organising this or conducting the training themselves)

For more information please contact Alison Keogh on 0207 269 6312 or email your CV to

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