Compliance Officer - London or St Albans
In order to ensure best and consistent practice across all departments and offices of Mercer & Hole, there is a requirement to resource additional skilled support to the partners of the firm, to address compliance risk. This role will ensure that the firm adheres to legal, regulatory, and internal standards, while also identifying, assessing, and mitigating risks as matters arise. Best and consistent practice will involve designing, reviewing, managing and adapting our approach in how we address compliance risk. This position is essential to maintaining the firm’s integrity, protecting client information, and preserving the firm’s reputation. This role is not expected: to have any dealings with the FCA and Financial Planning regulations; or compliance in relation to the Insolvency Act and Rules. Main function of job (Note: in addition to these functions employees are required to carry out such other duties as may reasonably be required). As an ICAEW firm, registered for audit, it is expected that the firm complies with all necessary technical requirements of our registrations and associated codes of conduct therein – including, but not limited to, a range of investment business activities, reserved legal activity of non-contentious probate, and subject to the ICAEW’s Code of Ethics and Professional Conduct in Relation to Tax. A full understanding and continued appraisal of these requirements is required to ensure that the firm’s practises enable adherence to them, with ongoing adaptation as appropriate. To bring about: Risk reduction: Proactively identifying and managing risks helps prevent financial losses, reputational damage, and regulatory penalties. Regulatory Compliance: Ensures the firm avoids legal issues, fines, and sanctions by staying compliant with regulations. Client Trust: Promotes client confidence by safeguarding sensitive data and upholding ethical standards. Operational Efficiency: Establishes effective controls, processes, and training that streamline compliance across the firm’s operations. Key Responsibilities and Main Duties Regulatory Compliance: Ensures compliance with the appropriate regulations of the firm, including but not limited to, ICAEW member firm rules and regulations, CIOT and STEP member requirements, and approved training firm requirements. Supports the firm’s Audit Compliance Principal/ Partner in ensuring compliance with International Standard on Quality Management 1 (ISQM1). Ensures adherence to necessary Acts where we have a duty to report behaviour that contravenes said Acts, including Anti-Money Laundering Regulations, The Proceeds of Crime Act, The Bribery Act, and relevant data protection legislation. Stays updated on regulatory changes and assesses their impact on the firm. Implements and manages policies that meet regulatory requirements for ethical conduct, client confidentiality, and reporting standards. Ensures the firms’ terms of engagement and other formal terms are reflective of practical behaviours and suitably accurate to mitigate against risk of claim against the firm. Reviews risk management related policies and procedures. Identifies potential financial, operational, reputational, and compliance risks across client engagements and internal operations. Conducts regular risk assessments to identify gaps or issues. Advises leadership on identified risks and recommend and implement practical mitigation strategies. Collaboration of Internal Controls and Policy Development: Works collaboratively with various departments to integrate policies and procedures into daily business operations. Ensures that policies regarding client acceptance, ongoing independence and other ethical matters are followed. Training and Awareness: Conducts and/or arranges training for staff on compliance topics. Promotes a culture of compliance and integrity across the firm. Oversees the client acceptance process and supports client facing teams in assessing new clients’ risk levels. Manages any compliance or risk incidents, including investigations and reporting as necessary. Monitoring, Reporting and Communication: Conducts internal checks to verify adherence to internal controls. Prepares reports on compliance activities and risk assessments for senior management and regulatory bodies. Ensures appropriate maintenance of comprehensive documentation of compliance and risk management activities. Qualifications/Education Required Degree educated, with a post graduate qualification in Law, Accountancy, or a related field. Minimum of five years post qualifying experience in a professional services environment with a keen interest or experience in Compliance. Experience and Aptitudes Required Strong Knowledge of Regulatory Standards and Corporate Governance. Ability to assess complex risks and make informed recommendations. Ability to clearly explain compliance policies and train staff. Excellent analytical and organisational skills. Proficiency in handling multiple compliance and risk projects. Unwavering commitment to ethics, integrity, and impartiality. About Mercer & Hole
Mercer & Hole is an independent firm since being founded in 1905. Today, we are proud to say that we are a growing top 40 accountancy firm performing Audit, Corporate Tax, and advisory work. We are also a top 20 UK firm for both private client tax work and financial planning.
The firm is led by 27 partners, many of whom are top 4 trained, and we value teamwork with over 240 staff across four locations in the UK.
We work with businesses and individuals and provide a quality, personalised service with high levels of expertise across all aspects of audit, accountancy, tax, and financial planning. Our experienced team can provide expert help in various areas. Making a Difference
We work with a range of clients from start-ups, SMEs and larger corporations, providing them with specialised services. Our experienced team can provide expert help in the following areas: • Audit and Accounting • Tax compliance and advisory • Business and strategic advice • Regulatory returns • Private client services and exit strategy planning
We really want to attract and retain individuals who share our Values: Together:
The firm with the family feel. Express gratitude. Smile. Be humble and confident. Have fun. Resilient:
Change is imminent. Be open minded & agile. Assume positive intent. Supportive:
We support what is important to you and show kindness in our behaviour.
#J-18808-Ljbffr
In order to ensure best and consistent practice across all departments and offices of Mercer & Hole, there is a requirement to resource additional skilled support to the partners of the firm, to address compliance risk. This role will ensure that the firm adheres to legal, regulatory, and internal standards, while also identifying, assessing, and mitigating risks as matters arise. Best and consistent practice will involve designing, reviewing, managing and adapting our approach in how we address compliance risk. This position is essential to maintaining the firm’s integrity, protecting client information, and preserving the firm’s reputation. This role is not expected: to have any dealings with the FCA and Financial Planning regulations; or compliance in relation to the Insolvency Act and Rules. Main function of job (Note: in addition to these functions employees are required to carry out such other duties as may reasonably be required). As an ICAEW firm, registered for audit, it is expected that the firm complies with all necessary technical requirements of our registrations and associated codes of conduct therein – including, but not limited to, a range of investment business activities, reserved legal activity of non-contentious probate, and subject to the ICAEW’s Code of Ethics and Professional Conduct in Relation to Tax. A full understanding and continued appraisal of these requirements is required to ensure that the firm’s practises enable adherence to them, with ongoing adaptation as appropriate. To bring about: Risk reduction: Proactively identifying and managing risks helps prevent financial losses, reputational damage, and regulatory penalties. Regulatory Compliance: Ensures the firm avoids legal issues, fines, and sanctions by staying compliant with regulations. Client Trust: Promotes client confidence by safeguarding sensitive data and upholding ethical standards. Operational Efficiency: Establishes effective controls, processes, and training that streamline compliance across the firm’s operations. Key Responsibilities and Main Duties Regulatory Compliance: Ensures compliance with the appropriate regulations of the firm, including but not limited to, ICAEW member firm rules and regulations, CIOT and STEP member requirements, and approved training firm requirements. Supports the firm’s Audit Compliance Principal/ Partner in ensuring compliance with International Standard on Quality Management 1 (ISQM1). Ensures adherence to necessary Acts where we have a duty to report behaviour that contravenes said Acts, including Anti-Money Laundering Regulations, The Proceeds of Crime Act, The Bribery Act, and relevant data protection legislation. Stays updated on regulatory changes and assesses their impact on the firm. Implements and manages policies that meet regulatory requirements for ethical conduct, client confidentiality, and reporting standards. Ensures the firms’ terms of engagement and other formal terms are reflective of practical behaviours and suitably accurate to mitigate against risk of claim against the firm. Reviews risk management related policies and procedures. Identifies potential financial, operational, reputational, and compliance risks across client engagements and internal operations. Conducts regular risk assessments to identify gaps or issues. Advises leadership on identified risks and recommend and implement practical mitigation strategies. Collaboration of Internal Controls and Policy Development: Works collaboratively with various departments to integrate policies and procedures into daily business operations. Ensures that policies regarding client acceptance, ongoing independence and other ethical matters are followed. Training and Awareness: Conducts and/or arranges training for staff on compliance topics. Promotes a culture of compliance and integrity across the firm. Oversees the client acceptance process and supports client facing teams in assessing new clients’ risk levels. Manages any compliance or risk incidents, including investigations and reporting as necessary. Monitoring, Reporting and Communication: Conducts internal checks to verify adherence to internal controls. Prepares reports on compliance activities and risk assessments for senior management and regulatory bodies. Ensures appropriate maintenance of comprehensive documentation of compliance and risk management activities. Qualifications/Education Required Degree educated, with a post graduate qualification in Law, Accountancy, or a related field. Minimum of five years post qualifying experience in a professional services environment with a keen interest or experience in Compliance. Experience and Aptitudes Required Strong Knowledge of Regulatory Standards and Corporate Governance. Ability to assess complex risks and make informed recommendations. Ability to clearly explain compliance policies and train staff. Excellent analytical and organisational skills. Proficiency in handling multiple compliance and risk projects. Unwavering commitment to ethics, integrity, and impartiality. About Mercer & Hole
Mercer & Hole is an independent firm since being founded in 1905. Today, we are proud to say that we are a growing top 40 accountancy firm performing Audit, Corporate Tax, and advisory work. We are also a top 20 UK firm for both private client tax work and financial planning.
The firm is led by 27 partners, many of whom are top 4 trained, and we value teamwork with over 240 staff across four locations in the UK.
We work with businesses and individuals and provide a quality, personalised service with high levels of expertise across all aspects of audit, accountancy, tax, and financial planning. Our experienced team can provide expert help in various areas. Making a Difference
We work with a range of clients from start-ups, SMEs and larger corporations, providing them with specialised services. Our experienced team can provide expert help in the following areas: • Audit and Accounting • Tax compliance and advisory • Business and strategic advice • Regulatory returns • Private client services and exit strategy planning
We really want to attract and retain individuals who share our Values: Together:
The firm with the family feel. Express gratitude. Smile. Be humble and confident. Have fun. Resilient:
Change is imminent. Be open minded & agile. Assume positive intent. Supportive:
We support what is important to you and show kindness in our behaviour.
#J-18808-Ljbffr
