Compliance Executive


Competitive Salary + Benefits

Our client, an award winning top 30 accountancy and business advisory Firm are searching for a Compliance Executive to join their team. Based out of their Hertfordshire office with occasional travel to other offices.

This is a fantastic opportunity for a newly qualified Accountant with an interest in Compliance, to learn and develop with a successful organisation. Extensive training will be provided.

Role Overview:

To Assist with technical queries in relation to Audit, Financial Reporting, Anti-Money Laundering, ethics, Company Law, Data Protection and some specialist areas e.g. FCA Solicitors Accounts Rules reporting.


  • Assist with technical queries in relation to Financial Reporting, Audit, Money Laundering, Ethics, Company Secretarial and some specialist reporting areas such as Pensions, SAR, FCA.
  • Research technical issues and be able to produce a summary of findings.
  • Assist with software training in relation to our Accounts production and file documentation.
  • Provide ad-hoc training on key audit, financial reporting, money laundering, and practical areas for staff as required.
  • Assist with drafting procedures and policy documents.
  • Provide assistance with our accounts production software and audit and accounts file documentation software.
  • Assist with Group compliance, to include review compliance with AML procedures, preparation of annual returns for our regulators, collate results from annual declarations.
  • Assist with file reviews (including audit).
  • Assist with monitoring students training records, including meeting with students to discuss their records on a regular basis.
  • Draft guidance for clients and news articles as well as responses to consultation documents.
  • Assist with internal reporting - specifically for partners conferences.
  • Research on specific industries and jurisdictions.
  • Keep technically up to date on financial reporting, auditing issues, FCA, legislation and issues affecting the accounting profession.
  • Investigate/follow up AML reports/issues.

Person Specification:

  • Preferably ACA/ACCA Qualified
  • Audit experience
  • Ability so summarise and report on findings in a concise manner
  • Good IT skills
  • Detail orientated approach to work

Benefits Package:

  • Flexible working
  • Social activities/charitable events
  • 25 days Holiday depending on level of qualification (ability to purchase up to 5 extra days annually under our flexible benefits scheme)
  • Life Assurance
  • Contributory Pension Scheme