In this pivotal role, you will oversee the firm’s compliance function, ensuring adherence to key regulatory frameworks such as AML, GDPR, and auditing standards. You will have the opportunity to shape the compliance strategy while supporting client growth and upholding quality standards.

Key Responsibilities:

• Compliance Leadership: Leading the compliance efforts across AML, GDPR, audit standards, and other regulatory frameworks, ensuring strict adherence to professional standards.
• AML & MLCO: Acting as the Money Laundering Compliance Officer (MLCO), overseeing anti-money laundering policies and reporting.
• Audit Quality Management: Overseeing the cold review process and ensure compliance with audit standards, driving continuous improvement through root cause analysis.
• External Reviews & Relationships: Building and managing relationships with external reviewers and regulatory bodies, ensuring effective Practice Assurance and Audit Compliance reviews.
• GDPR & Data Protection: Collaborating with the Data Protection Officer to ensure compliance with GDPR and manage data protection protocols.
• Client Monies & Investment Business: Overseeing the management of client monies and ensure FCA compliance for investment activities.
• Ethics & Independence: Ensuring adherence to ethical guidelines, including regular independence assessments and compliance with ICAS’s Code of Ethics.
• Engagement Letters: Managing the preparation and compliance of engagement letters, ensuring they meet regulatory standards.
• Annual Compliance & Certifications: Overseeing annual compliance processes, including Fit and Proper certifications.
• CPD Management: Coordinating and managing Continuing Professional Development (CPD) for staff, ensuring compliance with ICAS standards.
• Process Improvement: Leading ongoing process improvements in compliance areas, ensuring alignment with evolving industry standards.

Qualifications and Experience:

• Strong working knowledge of UK compliance regulations, including AML, GDPR, and audit standards.
• Professional qualification such as ACA/ACCA/CA or compliance-related certification (e.g., ICA, ICAEW).
• Proven experience in managing compliance functions and audit quality, with established relationships with regulatory bodies.
• Demonstrated leadership skills and a successful track record of driving process improvements.
• Strong organisational and strategic skills, particularly in coordinating CPD and ensuring regulatory compliance.

Why Apply?
This role offers a unique opportunity for an accomplished compliance professional to take on a leadership position, shaping the compliance strategy and ensuring adherence to regulatory standards.

You will be part of a firm that prioritises employee well-being, offering generous holidays, competitive benefits, and a supportive work environment.

TMM Recruitment INDFIN