The firm is looking to strengthen its internal Quality & Risk Management team (‘QRM’) and an opportunity has arisen for a compliance adviser to join the advisory and compliance team based in London.
This will be a challenging and rewarding role where you will:
- Learn about the services provided by an accountancy firm, the risks associated with those activities and how the firm manages those risks;
- Get involved in the administration of the firm’s central QRM systems;
- Deal with internal queries;
- Ensure that the reputation of the firm is maintained: client confidence is heightened; regulatory intervention mitigated and help the firm to achieve its strategy.
Working within the Quality and Risk Management (QRM) team, the compliance advisor is responsible for:
- Carrying out Conflict of Interest checks; liaising with partners and staff regarding potential conflicts and the safeguards required to manage those conflicts;
- Maintaining the firm’s list of prohibited entities, publishing the updated list and sending it to external stakeholders;
- Maintaining the firm’s register of external appointments;
- Supporting Annual Declarations, which includes maintaining the question database, drafting communications, liaising with IT, responding to queries from Partners and staff, chasing late respondents and resolving exceptions with guidance from senior QRM staff as necessary;
- Assisting the QRM partner and managers with research and risk analysis;
- Providing comprehensive guidance to queries received through the firms internal QRM helpline;
- Information and Knowledge Sharing – updating the firm’s Insite pages as required;
- Assisting on ad hoc projects.
Strong IT literacy, writing and analytical skills;
- Well presented with a professional level of communication – both verbal and written;
- Excellent attention to detail;
- Good time management, organisation skills and the ability to prioritise;
- Strong team player exhibiting initiative, drive, creativity and professionalism;
- Keen to develop and enhance risk management and compliance skills;
- Articulate with the ability to question and influence.