Assistant Manager – Compliance

Job Type: Permanent Location: London

An exciting opportunity has arisen within the Technical and Compliance Department and we are seeking an assistant manager to join the team 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.

Overall, we can offer a varied and challenging workload and the potential for progression for the right candidate. We require someone with compliance and communications basics who, with support and their initiative, will take ownership of their own tasks once their skills are proven.

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.
  • Reviewing answers on independence / fit and proper declarations made annually and by new starters, following up where necessary and providing a draft conclusion for review on issues arising.
  • Assisting the director with notifications to the ICAEW and the preparation of the ICAEW Annual Return
  • 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.

Knowledge base – desirable

  • Accounting frameworks – UK and IFRS.
  • Auditing Standards and related guidance.
  • Familiarity with accounts and audit software (CCH preferably).
  • The ICAEW’s Audit Regulations.
  • The FRC’s Ethical Standard.
  • The ICAEW DPB Handbook.

Skill base – essential

  • A high standard of written and oral skills for explaining issues clearly and succinctly and justifying possible solutions.
  • Interacting confidently with senior personnel including Partners across the whole firm, as well as supporting more junior members of staff
  • Analytical – the ability to understand an issue and assess its potential implications.
  • Accuracy – ensuring outputs are technically correct, paying attention to detail.
  • Up-to-date IT skills, in particular Excel, Word and Powerpoint.

Skill base – desirable

  • Research – use of initiative in finding solutions.
  • Maintaining intranet pages.
  • Training and presenting.
  • Project management skills.

The team

There are 6 members in the technical and compliance department – 2 directors, 2 managers, 1 assistant manager and 1 accounting software specialist.

The office

Ideally London based – though other locations will be considered for the right candidate so long as they can get into the London office.


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.

Part time candidates would be considered based upon a minimum of 3 days per week.

Education and experience

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.

Salary/benefits (some benefits will be pro-rated for part-timers)

  • 35-hour working week with flexibility around the core hours of 10am-4pm.
  • Working from home allowance of £25 a month.
  • Eligibility for the firm’s Profit-Sharing Plan that runs from October to September each year. The scheme enables staff to share in the profits of the firm. Payment is usually c£1,000 for the full year. Paid in December.
  • Eligibility for the discretionary bonus scheme. This is based on both individual performance and firm performance.
  • Salary reviews annually in October.
  • Twenty-five days annual leave.
  • In addition, under the flexible benefits programme, employees are entitled to buy or sell up to five days (35 hours) holiday a year, subject to staff partner approval.
  • Six-month probationary period.
  • Life assurance cover of four times salary,
  • Private Medical – staff have access to a private medical scheme through the flexible benefits programme.
  • Contributory pension scheme (the firm will contribute 4% of salary on a matched basis with the employee from their date of joining).
  • Access to a number of additional benefits with preferential rates under the flexible benefit programme: health cash plans, health screening/GP support, critical illness cover, dental and travel insurance, Techscheme, Cyclescheme, Gymflex and a Workplace ISA.