Key Achievements:

• Implemented compliance monitoring procedures, reducing regulatory breaches by 30%.

• Identified potential compliance risks across multiple client accounts, preventing £50,000 / $60,000 in potential fines.

• Streamlined internal compliance reporting processes, saving 10–15 hours per month.

• Provided advisory support that improved client adherence to statutory regulations, enhancing client retention.

• Developed training and guidance materials, improving team awareness and compliance efficiency.

• Duties & Responsibilities:

• Advise clients on regulatory and statutory compliance requirements, including accounting, audit, and tax regulations.

• Monitor client accounts and internal processes for adherence to compliance standards.

• Conduct compliance risk assessments and report findings to senior management and clients.

• Develop and implement compliance policies, procedures, and control measures.

• Assist in audits and regulatory inspections by preparing documentation and supporting schedules.

• Provide guidance to clients and internal teams on complex compliance matters.

• Identify potential compliance issues and recommend corrective actions.

• Prepare and present compliance reports to partners, management, and clients.

• Stay updated on regulatory changes and ensure clients are informed of relevant impacts.

• Assist in training and mentoring junior staff on compliance procedures and best practices.

• Collaborate with audit, tax, and advisory teams to integrate compliance into client service delivery.

• Support the preparation of management accounts, financial statements, and statutory filings with compliance in mind.

• Maintain records of compliance reviews, assessments, and advisory work.

• Assist in the development and implementation of compliance monitoring tools and systems.

• Ensure all client and internal activities comply with professional standards and regulatory requirements.

• Support continuous professional development (CPD) and knowledge-sharing initiatives.

• Participate in ad-hoc projects related to regulatory updates, risk management, or internal process improvement.

• Liaise with regulators and professional bodies as required.

• Review client contracts, agreements, and policies to ensure compliance.

• Maintain high standards of professionalism, ethics, and confidentiality in all compliance activities.