Head of Regulatory and Compliance Ethics

Job Title: Head of Regulatory and Compliance Ethics
Location: Hybrid Working - London NW3 / EC4M / Remote
Working Hours: Monday to Friday, 35-hour week (Flexitime)
Reporting to: Chief Governance & Sustainability Officer

Salary Range: £100,000 - 140,000

About BKL BKL is a Top 40 accountancy and advisory business supporting a diverse client base, from entrepreneurs and high-net-worth individuals to owner-managed businesses and multinational groups. With a legacy spanning over 130 years, we've evolved into a modern, purpose driven business that balances profit with impact.

We are proud to be a certified B Corp, reflecting our commitment to sustainability, transparency, and responsible governance. As a member of DFK International, we support clients locally and internationally with cutting edge expertise and a personal touch.

We believe all clients deserve the same level of care, innovation, and excellence.

Your Opportunity The Head of Regulatory Compliance and Ethics is responsible for overseeing all regulatory and ethical compliance matters within the firm, ensuring adherence to the Institute of Chartered Accountants in England and Wales (ICAEW) regulations. This role includes monitoring and enforcing compliance policies, developing risk management frameworks, and fostering a culture of ethical behaviour across the organization. The ideal candidate will act as a key advisor to the leadership team, providing insights and guidance on regulatory compliance and ethical standards.

How You'll Make a Difference Regulatory Compliance

• Ensure the firm's full compliance with ICAEW regulations, standards, and guidelines.
• Stay informed on changes to ICAEW regulations and communicate relevant updates to the firm's leadership and teams.
• Oversee and conduct regular internal audits to ensure adherence to ICAEW regulations, identifying and rectifying any areas of non compliance.
• Develop, implement and maintain a comprehensive compliance framework in line with ICAEW standards.
• Manage the completion of all ICAEW Annual Returns.
• Serve as the primary contact for all ICAEW and FRC regulatory reviews.
• Ultimately be named as the Group's Audit Compliance Partner, Practice Assurance Partner, Practice Compliance Partner, Ethics Partner and Bribery Officer.
• Ensure compliance with Designated Professional Body (DPB) regulations.
• Oversight of client money including compliance with the ICAEW Client Money Regulations.

Ethical Compliance

• Establish and promote ethical policies and procedures to maintain high standards of integrity and professional conduct.
• Advise and train staff on ethical best practices, helping them navigate complex ethical challenges in client engagements.
• Investigate any potential breaches of ethical standards and recommend corrective actions and improvements.
• Act as a trusted resource for employees on ethical issues, offering guidance on dilemmas and encouraging open dialogue on ethical concerns.

Risk Management

• Identify compliance risks and develop proactive strategies to mitigate potential issues, safeguarding the firm's reputation and client relationships.
• Regularly assess compliance risks across all departments and update risk management strategies as needed.
• Involvement with any potential acquisitions and newly integrated businesses to assess and minimise any identified areas of risk.
• Collaborate with teams to implement corrective actions for any compliance risks or issues identified, tracking progress and ensuring resolution.

Policy Development and Enforcement

• Create, maintain, and update compliance policies, procedures, and documentation in line with ICAEW requirements and best practices.
• Conduct annual DPB reviews and report to the DPB contact partner.
• Ensure all employees are aware of compliance policies and procedures, providing regular training sessions and resources.
• Enforce compliance policies, addressing any non compliance promptly and effectively to minimise risk to the firm.

Training

• Develop and deliver training programs on ICAEW regulations, ethical standards, and compliance best practices.
• Foster a culture of compliance through ongoing education and awareness initiatives for all staff.
• Ensure all staff understand their regulatory and ethical responsibilities and how these principles apply to their daily roles.

Reporting and Communication

• Report on compliance matters to the leadership team, including updates on regulatory changes, compliance activities and risk assessments.
• Serve as the main point of contact for compliance related inquiries from external regulators.
• Prepare and present reports on compliance and ethical practices for internal and external stakeholders as required.

You'll Be Ideal for This Role If You Have: Education: Degree in Accounting, Finance, Law, or a related field.

Professional Qualifications: Qualified Chartered Accountant (ACA, ACCA) or similar, with ICAEW membership preferred.

Experience: Substantial experience in senior compliance, risk management or a related field within an accountancy practice or professional services firm. Audit qualification or equivalent experience, with RI status preferred.

Skills and Knowledge:

• In depth knowledge of ICAEW regulations and ethical standards.
• Strong understanding of regulatory compliance, audit and risk management processes.
• Excellent communication and interpersonal skills, with the ability to build strong relationships at all levels of the firm.
• Analytical mindset with attention to detail and problem solving abilities.
• Proven leadership and team management skills, capable of promoting a culture of compliance and ethical behaviour.

Personal Attributes:

• Ethical and professional approach, with a commitment to maintaining the highest standards of integrity.
• Forward thinking and self motivated, with a strategic mindset and the ability to handle complex regulatory issues.
• Personable, pragmatic, diplomatic and approachable, capable of handling sensitive situations with discretion and tact.

Our Values At BKL, we live by five core values:

• Think Big - Be curious, brave and open to new ideas.
• In It Together - Collaborate, care and build an inclusive culture.
• Take Pride - Strive for excellence and believe in your impact.
• Do the Right Thing - Act with integrity, honesty and fairness.
• Enjoy It - Bring your whole self to work and have fun doing it.

Working With Us: Your Benefits, Wellbeing & Development We're committed to creating a people first workplace where everyone can thrive. We offer a carefully curated benefits package, wellbeing support and meaningful development opportunities that empower you to grow your career.

Snapshot of our Benefits Package

• Private Medical Insurance (PMI) - including mental health cover, hospital treatment and 24/7 GP access
• Health Cash Plans - covering everyday costs such as dental, optical and physiotherapy and an Employee Assistance Programme
• Pension scheme - helping you save for retirement in a tax efficient way
• Group Life Assurance - peace of mind with financial protection for your loved ones
• Cashback & savings portal - discounts across hundreds of high street and online retailers
• Cycle to Work Scheme - spread the cost of a new bike and accessories tax free
• Electric Vehicle Scheme - sustainable transportation options that include roadside support and servicing
• Free Mortgage Advice - expert guidance for your home buying journey
• Season Ticket Loan - support with travel expenses
• Enhanced Family Leave - generous leave policies for family related needs
• Holiday Entitlement - generous entitlement which increases with promotion

Development & Growth

• Clear development pathways and progression frameworks
• Professional qualifications support - including study time and funding
• Internal mentoring, coaching and buddying schemes
• Leadership development programmes to help you grow with us
• Regular check ins and performance conversations - driven by your goals, not just metrics

Take Your Next Step Ready to grow your career with a company that balances ambition with purpose? Apply today and discover how far you can go at BKL.

Our recruitment process typically involves three stages:

1. An introductory Teams call with our Talent Acquisition team.
2. A first stage interview with two team members.
3. A final interview at our London office, including a tour to give you a feel for our working environment.

Compliance & Equal Opportunities In addition to the responsibilities listed above, you will be required to undertake GDPR training in order to fully understand the regulations and ensure all work is carried out in a compliant manner.

BKL is an equal opportunities employer and positively encourages applications from suitably qualified candidates eligible to work in the UK.

Commitment to Information Security and Data Protection At BKL, we are committed to maintaining the highest standards of information security and data protection through a comprehensive framework of policies and procedures . click apply for full job details