Compliance Manager

Baldwins ,
Cardiff, South Glamorgan
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Job Description

Job Title: Group Compliance Manager Location: Cardiff/South West - Flexible Reference: South 694 The role: Reporting to and working alongside the group's head of compliance, this role would ideally suit an individual with previous experience of working in a compliance role for a firm of accountants, familiar with dealing with Regulatory bodies, returns, registrations including assistance with developing the group's regulatory framework. Specific activities of the compliance team listed below. About Baldwins: Baldwins are one of the fastest growing accountancy practices in the UK with over 3200 staff in 95+ office locations. Baldwins is part of the Cogital Group which has 6,000 people operating from 185 offices in 7 countries. We work with all types of businesses from sole traders to large national corporations. As a Group we have grown significantly both organically and by acquisition and by using a consultative approach we can offer a wide range of Business solutions, across Accounting, Audit, Tax, Payroll, Corporate Finance and Restructuring & Insolvency. Requirements As a Group Compliance Manager based in one of our South West offices, your main responsibilities will include: * Coordinating ICAEW regulatory compliance visits, Audit QAD, Practice Assurance, DPB, Probate, ATOL * Dealing with the reports following monitoring visits * Implementing group policies and procedures for Practice Assurance, Client Money, AML, QAD, Complaints etc * Monitoring complaints mailbox * Mergers and Acquisitions- completion of mergers form and transfer of target business with ICAEW, registering audit RI's * Updating group's standard terms and conditions * Updating group's Provision of Services information for website/letterheads * Notification of changes of office/RI status/AI'S for probate/trade names and other matters with ICAEW * Completion and submission of ICAEW Annual Returns (now to be condensed into BHL and other retained subcos) * Organising completion of Fit & Proper/Independence declarations for all offices, analysing any disclosed data for group action. * Client Money compliance reviews ( to be fully implemented) * HMRC Gateway registrations for individual offices as part of group transfer of 64-8 client authority transfers (one registration process now completed) * Developing standardised process for client engagement, on boarding and AML procedures * Filing confirmation statements for group companies (now moved to internal accounts) * Maintaining/supervising group mailboxes for complaints/compliance/LOE queries/Ethics queries/Audit register/Prof Subscriptions * Assisting with the GDPR steering group As a Group Compliance Manager based in one of our South West based offices, your main responsibilities will include: * Ability to work independently and on self-starting basis * Ability to supervise other administrative colleagues and to assist in development of their skills and training * Calm, organised, confident, reliable, logical, confidential, diplomatic, flexible, empathatic, sensible and strong * Willing to tackle new challenges, and to work to tight deadlines * Ability to negotiate and influence senior staff in order to complete tasks and meet deadlines * Keen to develop self and others through acquisition of new skills and knowledge * Good communication, influencing and organisational skills (there is a need to maintain strong audit trails and communicate with other members of compliance team regulators, heads of service lines and all levels of staff) * Confident in using telephone, skype and similar * Enquiring mind and desire to check facts for accuracy, an eye or detail * Ability to identify and implement administrative efficiencies (without compromise of audit trail) * Ability to use word, excel and document management systems (although training will be given on latter system specific to Baldwins) * Flexible in order to re prioritise according to business need * Some experience of anti-money laundering processes or regulated professional environment an advantage but not essential * Confident, willing to challenge, fast and accurate in completion of tasks * Willing and able to work as part of a national and sometimes remote (to your office) team * Willing to acquire new skills and work to strict deadlines Benefits The Benefits: Our clients deserve the best, the same goes for our people. You will receive a competitive salary and the following benefits package: * 25 days holiday plus statutory * Full study support depending on the role you are coming in at - We work closely with Kaplan to provide our students with full study support for their specialised qualification (e.g. AAT, ACA, ACCA, ATT, CTA). * Employee benefits portal including offers on retail, health, wellbeing, days out, restaurants etc. * 4 x Death in service * Employee referral scheme - We are constantly seeking talented and skilled individuals to join the Baldwins brand, if an employee successfully introduces a person to Baldwins you will

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