Review of standard documentation – reviewing templates; ensuring documents are up to date; working with the Technical team to identify changes to templates or engagement letters; monitoring advice and guidance given by the ICAEW for best practice
Complaint management – logging all complaints received and allocating responsibility for investigation and reporting; monitoring the complaints process; provide reports to the Finance Partner when required; monitoring trends from complaints and make suggestions for improvements
Engagement and 3rd party risk – reviewing and negotiating engagement contracts; reviewing NDAs, supplier contracts, sub-contracting agreements and other documentation; answering ad-hoc legal queries from all business units
Maintain the Firm's risk register – keeping high risks under control; advising department heads on risk mitigation; conducting an annual review of the register
GDPR and DPA – advising on data management and GDPR compliance; supporting the completion of the GDPR Data Privacy Programme and monitoring on-going legislation; monitoring GDPR compliant inventories; comply with the Data Privacy requirements; undertaking DPIAs and ensuring compliance with the outcomes of these; reporting GDPR compliance to leadership identifying requirements for and rolling out Data Privacy, and maintaining a data protection-aware culture; responding to queries in relation to data protection issues in the relevant mailbox
Regulation Monitoring – monitoring forthcoming changes in both regulation and best practice areas determined by the ICAEW; assessing the impact of changes on form policy and procedure; issuing proposals to the Partners and Compliance team for proposed changes to documentation; implementing approved changes and cascade knowledge internally
Practice Assurance Review – undertaking the annual review and setting an annual strategy; updating and designing the review; working closely with the Regulatory Manager to undertake a review of all practice areas and systems
Compliance Manual – maintaining the Compliance Manual; reviewing best practice in accordance with this; refreshing the manual annually
IT Security – assisting the IT department and client facing departments in identifying and mitigating data risks
Professional Indemnity Insurance – assisting with the preparation of the annual PII submission
Sign off on templates and materials – approving marketing materials and promotional information; ensuring information is up to date; keeping a record of all approved materials
You must have several years experience in a similar in house Compliance role within professional services particularly including experience of advising on & monitoring GDPR. NB This experience will be equally valid if gained from a law firm however you must be able and willing to learn the Institute of Chartered Accountants (ICAEW) Regulations.
For further information or a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or click Apply to submit your CV.