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Risk and Compliance Manager (Top 30 Accountancy Practise) – Accounting or Law Firm Compliance Experience Required

£50K - £60K + Good Benefits (inc generous holiday & flexi time) | London
Ref: 3737R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a leading accountancy firm, is looking for a Risk and Compliance Manager to work alongside the Senior Managers & Partners covering governance, risk and compliance with a focus on GDPR, legal areas of contractual arrangements, engagement risk and 3rd party exposure. The role will involve the following areas:

·        Review of standard documentation – reviewing templates; ensuring documents are up to date; working with the Technical team to identify changes to templates or engagement letters; monitoring advice and guidance given by the ICAEW for best practice

·        Complaint management – logging all complaints received and allocating responsibility for investigation and reporting; monitoring the complaints process; provide reports to the Finance Partner when required; monitoring trends from complaints and make suggestions for improvements

·        Engagement and 3rd party risk – reviewing and negotiating engagement contracts; reviewing NDAs, supplier contracts, sub-contracting agreements and other documentation; answering ad-hoc legal queries from all business units

·        Maintain the Firm’s risk register – keeping high risks under control; advising department heads on risk mitigation; conducting an annual review of the register

·        GDPR and DPA – advising on data management and GDPR compliance; supporting the completion of the GDPR Data Privacy Programme and monitoring on-going legislation; monitoring GDPR compliant inventories; comply with the Data Privacy requirements; undertaking DPIAs and ensuring compliance with the outcomes of these; reporting GDPR compliance to leadership identifying requirements for and rolling out Data Privacy, and maintaining a data protection-aware culture; responding to queries in relation to data protection issues in the relevant mailbox

·        Regulation Monitoring – monitoring forthcoming changes in both regulation and best practice areas determined by the ICAEW; assessing the impact of changes on form policy and procedure; issuing proposals to the Partners and Compliance team for proposed changes to documentation; implementing approved changes and cascade knowledge internally

·        Practice Assurance Review – undertaking the annual review and setting an annual strategy; updating and designing the review; working closely with the Regulatory Manager to undertake a review of all practice areas and systems

·        Compliance Manual – maintaining the Compliance Manual; reviewing best practice in accordance with this; refreshing the manual annually

·        IT Security – assisting the IT department and client facing departments in identifying and mitigating data risks

·        Professional Indemnity Insurance – assisting with the preparation of the annual PII submission

·        Sign off on templates and materials – approving marketing materials and promotional information; ensuring information is up to date; keeping a record of all approved materials


You must have several years experience in a similar in house Compliance role within professional services particularly including experience of advising on & monitoring GDPR. NB This experience will be equally valid if gained from a law firm however you must be able and willing to learn the Institute of Chartered Accountants  (ICAEW) Regulations. 


For further information or a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at


                                    Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  


The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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