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Compliance Manager

25,032 P.A. ?
Cardiff County
Baldwins Accountants

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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.


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


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.
  • Eye care 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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