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Risk and Compliance Assistant Manager – Professional Services

  • Location: City of London
  • Salary: £48,000 - £57,000 per year
  • Job Type:Permanent

Posted 22 days ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email:
  • Expiry Date: 28 August 2022
  • Job Ref: ET/19368

​An exciting opportunity has arisen within the Technical and Compliance Department and we are seeking an assistant manager to join a team of 6 to work specifically on risk, ethics and compliance aspects.

The role

The Technical & Compliance Department’s responsibilities cover the entire firm and include advice, consultations, communications, policy development, supporting CPD delivery, quality and compliance monitoring, maintaining the technical and compliance intranet and external reference materials, risk management and ensuring adherence to regulatory requirements (principally audit, Practice Assurance (PA) and Designated Professional Body (DPB) – investment business).

Due to growth in the department’s work, a new opportunity has arisen for an assistant manager to join the team to work specifically on the risk, ethics and compliance aspects, alongside an experienced director and manager.

This is an ideal opportunity for someone looking to develop their career in a key support role in practice outside of direct client work.

The successful applicant will be expected to undertake the following activities within the Assistant Manager – Technical & Compliance role:

•Helping with responses to queries and consultations arising, including undertaking research.

•Updating compliance and ethics registers (such as risks, specialist clients and ethical consultations).

•Maintenance and review of the risk, ethics and compliance intranet pages. following up where necessary and providing a draft conclusion for review on issues arising.

•Supporting the manager with compliance tasks, especially the annual DPB, PA and Licensed Practice (ATOL work) compliance reviews and follow-up action.

•Preparation of internal communications – principally news alerts and ‘bitesize’ presentations.

•Support for projects, such as the review of the firm’s suite of engagement letters.

•Ad hoc review tasks, such as sections of an audit file where an issue has arisen.

Knowledge base - essential

•An understanding of risk and compliance and ethical requirements generally.

•An awareness of how those requirements are key to the operation of professional firms, including those regulated by the ICAEW.

•Applicants should ideally be ACA/ACCA qualified with a good exam record and a grounding in either public practice client work or regulatory / compliance experience.

What makes a candidate successful?

•The successful candidate will be an assured, enthusiastic self-starter with the background and desire to develop a role central to a technical & compliance department that fully meets the needs of a mid-tier firm.

•They will have excellent organisational skills, including the ability to manage multiple tasks at once and prioritise their workload.

•They should have a definite interest in researching risk, ethics and compliance matters and seeking to resolve problems, as well as identify aspects which might not have been envisaged initially.

•In addition, they should possess interpersonal skills and professionalism to establish credibility at all levels, be commercially minded and have a clear perception of the requirements of both the firm and its clients.

•The position requires a high level of commitment and therefore candidates should display a positive approach to work and have the drive and ability to get things done.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.