Day to day duties:
- Coordinating ICAEW regulatory compliance visits, Audit QAD, Practice Assurance, DPB, Probate, ATOL. As well as dealing with the reports following monitoring visits
- Responsible for implementing group policies and procedures for Practice Assurance, Client Money, AML, QAD, and complaints
- Update group's standard terms and conditions as well as Provision of Services information for website/letterheads
- Complete and submit the ICAEW Returns (now to be condensed into BHL and other retained?subcos)
- Respond to queries in the compliance inbox
- Work with the wider compliance team and as directed by compliance senior manager
- Update compliance policies, procedures, guidance and the Hive
- Undertake monitoring reviews and checks as directed to ensure compliance with relevant laws, regulations, and standards
- Provide support to staff on compliance-related matters
- Complete reporting and communications to regulatory bodies
- Keep up-to-date with changes in legislation
- Ad hoc project work
What are we looking for?
- Experience in a FCA/ICAEW/ICAS/ACCA/CAI regulated firm
- Strong communication to support the business
- Excellent orgnisational skills
- Ability to communicate and work with stakeholders at all levels of the business
- Competent with 0365 applications
- Data driven mindset