Compliance Manager

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 26 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 group includes two ICAEW-regulated firms:  HW Fisher Professional Services Ltd and HW Fisher Business Solutions Ltd; both are licensed to undertake limited investment activities.  Audit work is undertaken by HW Fisher Audit, a trading name of Sumer Auditco Ltd, and HW Fisher Corporate Trustee Ltd acts as trustee for clients’ trusts.

The Role:

We require a manager in the Compliance Department.  The role will report to the Compliance Director and requires at least five years’ experience in either a legal or compliance role, ideally within an ICAEW-regulated firm. The prospects for progression and increased responsibility are good; they will be dependent upon knowledge and to some extent “getting to know” the firm.

Key Responsibilities:

Advisory & Training

• Assisting the Compliance Director to ensure that the compliance manual is maintained up-to-date and that the firm’s policies and procedures reflect all relevant regulatory expectations.
• Providing timely and accurate responses to queries from staff, particularly in relation to contractual documentation such as engagement letters and non-disclosure agreements.
• Ensuring compliance with data protection requirements and the Clients’ Money Regulations.
• Identifying the firm’s regulatory training requirements and delivering on-going compliance training where required.

Monitoring

• Ensuring the completion of 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.
• Ensuring that the annual Fit & Proper attestation process is completed and the results collated and assessed.
• Ensuring that all breaches of regulatory requirements and in-house policies are recorded, remedial action is completed and root cause analysis undertaken where required.

Regulatory Liaison

• Preparing the annual ICAEW returns.
• Submitting ICAEW notifications as required.
• Assisting the Compliance Director with preparations for QAD and other regulatory visits.

General

• Assisting the Compliance Director with such ad-hoc projects as may arise from time-to-time.
• Attending internal committee meetings as required.
• Supervising, training and mentoring junior members of the team.

The Candidate:

The candidate is likely to be educated to degree level.  Accountancy or legal qualifications would be helpful, as would a good knowledge of ICAEW Practice Assurance requirements and the reporting requirements of a registered firm.

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

The Benefits:

• Salary: competitive
• Group Life Cover
• 25 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

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