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Compliance Assistant

21,943 P.A. ?
Cardiff County
Baldwins Accountants

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Job Title: Group Compliance Assistant

Location: Cardiff/South West - Flexible

Reference: North 230

The role:

Reporting to and working alongside the group’s compliance manager, 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. Individuals with other relevant experience may be considered and training will be provided. 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 Assistant based in one of our South West offices , your main responsibilities will include:

  • Collating information to assist in the completion and submission of ICAEW Annual Returns
  • Organising completion of Fit & Proper/Independence declarations for all offices, analysing any disclosed data for group action.
  • Assisting the compliance manager in completing Mergers and Acquisitions forms and registering transfer of target business with ICAEW for newly acquired businesses
  • Coordinating office AML annual compliance reviews, together with group AML review, maintaining structure of group office MLRO’S and monitoring SAR reporting, advising central team on AML checks
  • Assisting in Client Money compliance reviews
  • Maintaining/supervising group mailboxes for complaints/compliance/LOE queries/Ethics queries/Audit register/Prof Subscriptions
  • Collating professional subscriptions by office for expense approval
  • Maintaining framework of office PRT's and liaising with Professional bodies in conjunction with L & D department

As a Group Compliance Assistant based in our one of our South West offices Office (Flexible), your main responsibilities will include:

  • Good communication, influencing and organisational skills (there is a need to maintain strong aud it 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
  • Ability to maintain high degree of confidentiality in your work
  • 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


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
  • Employee benefits portal including offers on retail, health, well being, 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 & Behaviors 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 & Behaviors are what we expect to be displayed by all staff and partners at all levels and at all times. Consistently demonstrating the Behaviors 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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