Trainee Compliance Officer

The Firm:

HW Fisher is a UK chartered accountancy firm and part of the Sumer Group, which is in the Top 15 accounting firms in the UK. We are a commercially astute organisation with a personal service aimed at entrepreneurial small and medium enterprises (SMEs), large corporates, Not for Profit organisations and high-net worth individuals.

Our clients come from many different backgrounds and are active in all branches of commerce and industry. Our reputation is grounded in quality, delivering premium advisory services efficiently and cost-effectively.

Founded in 1933, the practice comprises 25 partners and approximately 280 staff supplying a range of services spanning audit, corporate taxation, private client services, VAT and forensic accounting, together with a range of sector groups offering specialist industry knowledge.

The Department:

The Compliance department is a team of eight staff covering Practice Assurance and Financial Crime responsibilities.

The Role:

We require a trainee compliance officer in the Compliance Department, reporting to the Compliance Director.  No prior experience is required – full training will be provided and the role provides good prospects for progression and increased responsibility dependent upon performance.

Duties & Responsibilities:

The responsibilities of this role are varied and will include the following:

• Managing the Fit & Proper declaration process for all staff, both new joiners starting with the firm and in an annual reconfirmation exercise.
• Maintaining the firm’s registers of trusteeships, external appointments, prohibited investments and Gifts & Hospitality.
• Maintaining the firm’s register of breaches of regulatory requirements and in-house policies, following up remedial actions to ensure completion.
• Maintain the firm’s records of client safe custody assets, ensuring that they remain accurate and up-to-date.
• Compiling Management Information reports in relation to the registers, as required.
• Assisting the Compliance team to complete the annual compliance monitoring programme, covering all aspects of the business including compliance with Practice Assurance Regulations, the DPB (Investment Business) Handbook, the DPB (Consumer Credit) Handbook and the Client Money Regulations.
• Providing timely and accurate responses to queries from staff.
• Assisting the Compliance Director with such ad-hoc projects as may arise from time-to-time.

The successful candidate will initially undertake the ICA Compliance Certificate and study time will be granted to complete this qualification. Other training courses will form part of an on-going training plan.

The Candidate:

The candidate is likely to be educated to degree level.  The degree subject is not important but the candidate must be able to demonstrate a good level of numeracy and excellent communication skills, both oral and written.

The candidate must have good interpersonal skills and demonstrate resilience and a pragmatic attitude.

The Benefits:

• Salary: competitive
• Group Life Cover
• 22 days holiday on commencement
• Buying and Selling Holiday Scheme
• Hybrid working policy – at least 2 days in the office a week, with a core hours system in place
• PHI (Permanent Health Insurance)
• Contributory Private Health Scheme
• Non-Contributory Health Cash Plan
• Season Ticket Loan (after qualifying period)
• Discounted Gym Membership
• Discounted Tastecard
• Perkbox Membership
• Pension Scheme
• Cycle voucher scheme

To apply for this position please send a CV and covering letter to Michael Fraser at mfraser@hwfisher.co.uk.