Senior Compliance Manager

Role Title: Senior Manager, Compliance & Risk Assurance

Client Summary:

Our client is a leading professional services firm dedicated to fostering a resilient and successful business environment. They pride themselves on delivering exceptional client service through robust processes and trusted advisory. With a commitment to embedding a strong ethical culture, they empower their teams to play a vital role in protecting the firm against risk, going beyond mere compliance to build a truly secure and thriving organization.

Job Description:

Are you a seasoned leader with a passion for building robust compliance frameworks and driving ethical excellence? This is a unique opportunity to join a dynamic Compliance Team and play a pivotal role in shaping a resilient and successful business. You will be instrumental in designing, implementing, and monitoring critical processes that ensure integrity and safeguard the firm. This role offers a chance to be a trusted advisor, influencing strategy through expert guidance and impactful training programs. You'll lead initiatives that enhance operational efficiency, mitigate risk, and foster a culture where everyone understands their role in protecting the organization. If you're looking to make a significant impact, mentor a talented team, and contribute to a firm that values its people and its principles, this is the role for you.

Responsibilities:

• Lead the design and implementation of innovative policies, processes, and systems for client and engagement acceptance, ensuring adherence to critical ethical requirements.
• Provide expert advice, training, and support to partners, directors, and professionals on client acceptance, ethics, independence, and conflict of interest matters.
• Oversee the operational management and reporting of the client and engagement acceptance process, including reputational checks, risk assessments, and escalations.
• Manage and mentor a team of Compliance Practitioners, fostering their development and ensuring effective execution of processes.
• Collaborate closely with independence and conflicts specialists to ensure comprehensive clearances are obtained.
• Proactively identify risks related to quality objectives, assess current controls, and design enhanced mitigation strategies.
• Conduct thorough reviews to monitor compliance with policies and procedures, providing valuable insights into associated risks.
• Engage with business stakeholders to ensure proactive, effective, and efficient client acceptance and re-acceptance processes.
• Act as a key liaison with digital solutions teams to drive the automation of compliance processes.
• Prepare comprehensive reports for Governance Bodies and Committees, presenting key findings and recommendations.
• Continuously identify and champion improvements to existing processes, fostering a culture of innovation.
• Effectively manage stakeholders and build strong collaborative relationships across the firm.

Requirements:

Must-Haves:

• A post-graduate qualification in Internal Audit, External Audit, Finance, Risk Management, or Compliance.
• A minimum of 10 years of total professional experience.
• At least 3 years of proven experience in a management or leadership role.
• Demonstrated experience in a risk, ethics, conflicts, or independence role within an audit firm or similar financial services setting.
• Experience partnering with IT on the design and rollout of systems.
• Strong analytical skills and the ability to make sound ethical decisions.
• Excellent communication and interpersonal skills, with the ability to engage effectively with diverse stakeholders.
• Ability to maintain confidentiality and handle sensitive information with discretion.
• Demonstrated leadership capabilities and a proactive approach to problem-solving.
• Intermediate proficiency in Excel, Word, and PowerPoint.
• Strong written and spoken English language skills.

Nice-to-Haves:

• Experience as a CA looking to transition into a Compliance role.
• National exposure in previous roles.