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.

Job Title:Group Compliance Manager
Location:Cardiff/South West/Flexible
Reference:South 694

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.

As a Group Compliance Manager based in one of our South West based Offices, your role as part of the compliance team will include:

  •  Liaising closely with Heads of Compliance in order to develop and manage necessary annual compliance activities and the prioritisation of compliance matters arising from day to day activities of the group
  • Coordinating ICAEW regulatory compliance visits, Audit QAD, Practice Assurance, DPB, Probate, ATOL
  • Dealing with the reports following monitoring visits and coordinating / documenting responses from the business
  • Implementing group policies and procedures for Practice Assurance, Client Money, AML, QAD, Complaints etc
  • Assisting the Head of compliance in completing Mergers and Acquisitions forms and registering transfer of target business with ICAEW for newly acquired businesses
  • Updating group’s standard terms and conditions of engagement
  • Updating group’s Provision of Services information for website/letterheads and liasing closely with the Groups marketing department
  • Notification of changes of office/RI status/AI’S for probate/trade names and other matters with ICAEW
  • Collating information to assist in the completion and submission of ICAEW Annual Returns
  • Organising completion of annual regulatory staff declarations and confirmations (such as Fit & Proper/Independence declarations) for all offices, analysing any disclosed data for group action.
  • Coordinating Client Money compliance reviews (to be fully implemented) and liaising with Heads of Compliance/ Finance teams in surfacing of matters for further analysis
  • Assisting in the development of the standardized process for client engagement, onboarding
  • and AML procedures
  • Maintaining/supervising group mailboxes for complaints/compliance/LOE queries/Ethics queries/Audit register/Prof Subscriptions
  • Maintaining databases of individuals in offices holding regulatory approved roles such as Senior statutory Auditors, Training Principals including the liaison with Professional bodies in conjunction with our L & D department/ Heads of Audit

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, empathic, 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 reprioritise 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

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 receive a highly competitive bonus.
  • Employee assistance program – 24hr 365-day service to counselling and advisory service.
  • Eyecare vouchers

Our Culture:

Our Core Values & Behaviours underpin what Baldwins is all about. These are the foundations that we will continue to build and develop our business on as we move forward. Along with roles and responsibilities definitions, these Core Values & Behaviours are what we expect to be displayed by all staff and partners at all levels and at all times. Consistently demonstrating the Behaviours allows the Firm to grow and achieve our goals of Happy Staff, Happy Clients and Financial Strength.

Learning and Development is an integral part of the Baldwins Group.  We aim to provide the best support to our people to ensure that their development and knowledge is at the best level possible through professional qualifications, online training and self-development.


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