Head of Regulatory Compliance and Ethics

Head of Regulatory Compliance and Ethics

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Head of Regulatory Compliance and EthicsA leading accountancy and advisory firm is seeking a Head of Regulatory Compliance and Ethics to champion the highest standards of integrity, trust, and responsible governance. This pivotal position offers you the chance to shape a robust culture of ethical behaviour while ensuring full adherence to regulatory requirements. You will be empowered to influence policy at the highest level, acting as a trusted advisor to senior leadership and guiding the organisation through complex compliance landscapes. With hybrid working options, generous benefits, and a commitment to professional growth, this is an exceptional opportunity for someone who values flexibility, inclusion, and making a meaningful impact in a purpose-driven environment. Shape the regulatory and ethical framework of a respected accountancy firm with over 130 years of legacy, supporting clients from entrepreneurs to multinational groups. Enjoy flexible hybrid working arrangements, comprehensive wellbeing support including private medical insurance and mental health cover, and enhanced family leave policies. Benefit from clear career progression pathways, professional qualifications support, mentoring schemes, and leadership development programmes designed to help you thrive.

What you'll do:

As Head of Regulatory Compliance and Ethics, your role will be central in shaping how regulatory obligations are met while nurturing an environment where ethical conduct is second nature. You will collaborate closely with senior leaders to ensure that every aspect of the firm's operations aligns with both legal requirements and internal values. Your day-to-day activities will include overseeing audits, updating policies in response to evolving regulations, delivering engaging training sessions on ethics and compliance matters, investigating any breaches sensitively yet thoroughly, and reporting regularly on risk assessments. By fostering open dialogue around ethical dilemmas and supporting colleagues at all levels with practical guidance, you will help embed a culture where everyone understands their responsibilities-and feels supported in upholding them. Your expertise will also be called upon during periods of organisational change or expansion to ensure seamless integration without compromising on standards.

• Oversee all aspects of regulatory compliance within the firm, ensuring strict adherence to ICAEW regulations, standards, and guidelines across all departments.
• Monitor changes in relevant regulations and communicate updates effectively to leadership teams and staff members throughout the organisation.
• Conduct regular internal audits to identify areas of non-compliance, implementing corrective actions promptly to maintain high standards.
• Develop, implement, and maintain comprehensive compliance frameworks aligned with industry best practices and ICAEW requirements.
• Serve as the primary contact for external regulatory reviews by bodies such as ICAEW and FRC, managing all related communications and documentation.
• Act as Audit Compliance Partner, Practice Assurance Partner, Practice Compliance Partner, Ethics Partner, Bribery Officer, and oversee compliance with Designated Professional Body (DPB) regulations.
• Supervise client money handling processes in accordance with ICAEW Client Money Regulations to safeguard client interests.
• Establish and promote ethical policies that foster a culture of integrity and professionalism throughout the business.
• Advise on complex ethical issues, providing training sessions for staff on best practices in regulatory compliance and ethical conduct.
• Identify potential compliance risks associated with acquisitions or new business integrations, developing strategies to mitigate these risks effectively.

What you bring:

To excel as Head of Regulatory Compliance and Ethics you will bring not only technical expertise but also genuine passion for fostering trust-based relationships across diverse teams. Your background will include significant exposure to regulatory environments-ideally within accountancy or professional services-where you have successfully managed both routine oversight tasks and unexpected challenges. You will demonstrate excellent interpersonal skills that allow you to communicate complex information empathetically while encouraging open discussion about ethical concerns. Your leadership style will be supportive rather than directive: empowering others through education rather than enforcement alone. A strategic thinker by nature, you are comfortable balancing immediate operational needs against long-term objectives-always keeping the wider organisational mission in view. Above all else your personal integrity sets you apart: colleagues know they can depend on your honesty even when navigating difficult decisions together.

• Degree in Accounting, Finance, Law or a related field demonstrating strong academic foundations relevant to regulatory environments.
• Professional qualification as a Chartered Accountant (ACA or ACCA), ideally with current ICAEW membership reflecting your commitment to ongoing professional development.
• Substantial experience in senior compliance or risk management roles within accountancy practice or professional services firms where you have overseen complex regulatory frameworks.
• Audit qualification or equivalent experience; holding Responsible Individual (RI) status would be highly advantageous for this position.
• In-depth knowledge of ICAEW regulations coupled with practical understanding of audit processes and risk management methodologies.
• Exceptional communication skills enabling you to build trusting relationships across all levels of an organisation while explaining technical concepts clearly.
• Proven ability to lead teams collaboratively-promoting shared responsibility for compliance outcomes-and nurture an inclusive workplace culture.
• Analytical mindset with meticulous attention to detail when reviewing policies or investigating potential breaches of standards.
• Ethical approach underpinned by diplomacy; able to handle sensitive situations discreetly while maintaining fairness for all parties involved.
• Forward-thinking attitude combined with strategic vision; comfortable navigating complex regulatory challenges in a rapidly evolving sector.

What sets this company apart:

This organisation stands out for its unwavering commitment to balancing profit with purpose-a philosophy reflected in its B Corp certification and longstanding reputation for responsible governance. Employees benefit from flexible working arrangements that respect individual circumstances while promoting collaboration through regular office engagement. The benefits package is thoughtfully designed: private medical insurance (including mental health cover), health cash plans for everyday expenses like dental care or physiotherapy, group life assurance for peace of mind, pension scheme contributions that support your future security, cashback portals offering savings at hundreds of retailers plus sustainable travel initiatives such as cycle-to-work schemes or electric vehicle support. Enhanced family leave policies ensure you can prioritise what matters most outside work too. Career development is more than just a promise here: structured pathways make progression transparent; study support helps you gain further qualifications; mentoring connects you with experienced colleagues; leadership programmes prepare you for greater responsibility-all underpinned by regular check-ins focused on your goals rather than arbitrary metrics. Inclusion isn't just encouraged-it's embedded into every aspect of working life so everyone feels welcome regardless of background or identity. If you value being part of an organisation where your voice matters-and where doing the right thing is celebrated-you'll find this environment uniquely rewarding.

What's next:

If you are ready to take ownership of regulatory compliance at a forward-thinking firm that values both ambition and purpose-this is your moment!

Apply today by clicking on the link provided; embark on a recruitment journey that includes an introductory Teams call with Talent Acquisition followed by two engaging interview stages culminating in an office tour so you can truly experience what makes this workplace special.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates