We are seeking a highly skilled and strategic Technical and Regulatory Manager to support the Head of Technical & Compliance and collaborate with other teams to implement audit methodologies, ensure compliance with the System of Quality Management, and provide technical leadership across the organisation. As a key player in maintaining regulatory standards, you will ensure that the company is always up-to-date with current laws and regulations, and foster strong, collaborative relationships with the Assurance team and other departments.
You will be a recognised technical expert within the organisation, supporting the development and enhancement of internal processes, driving knowledge-sharing, and identifying regulatory developments that may impact business operations. As an insightful leader passionate about compliance, you will contribute significantly to regulatory compliance, anti-money laundering (AML), and assurance efforts.
Key Responsibilities:
1. Implementation of Audit Methodology and Quality Management.
* Assist the Head of Technical & Compliance in implementing and maintaining the System of Quality Management (SoQM)
* Collaborate with the Assurance team and other business areas to ensure audit methodologies are properly integrated into practice and that they meet both internal and external quality standards.
* Support the ongoing development and improvement of audit procedures and methodologies to align with regulatory changes and industry best practices.
2. Technical Expertise and Knowledge Sharing
* Act as a technical expert within the firm by staying up-to-date with the latest changes in accounting standards, regulatory requirements, and industry trends.
* Leverage your expertise to guide internal teams on complex technical matters, ensuring the organisation stays ahead of emerging regulations or best practices.
* Share knowledge with internal stakeholders through training, guidance notes, and workshops, enhancing the overall technical competency of the firm.
3. Regulatory Compliance and Legal Matters
* Be a proactive leader in identifying key laws, regulations, and standards that may affect the firm’s operations, ensuring that the firm is fully compliant with all applicable accounting, auditing, and financial services regulations.
* Monitor developments in global, national, and local regulatory frameworks, and advise the business on changes that could impact operations.
* Ensure that policies and procedures are updated regularly to reflect the latest regulatory requirements and best practices.
4. Anti-Money Laundering (AML) Compliance
* Provide vital support to the Head of Technical & Compliance in enhancing Anti-Money Laundering (AML) policies and procedures, ensuring they align with regulatory standards.
* Oversee the design and execution of AML compliance testing and ensure it is applied across all client-facing activities, identifying potential risks and mitigating them in a timely manner.
* Maintain an up-to-date understanding of external AML regulations and incorporate these changes into internal processes to ensure robust compliance.
5. Practice Assurance and Compliance Testing
* Support the Head of Technical & Compliance in their role as Practice Assurance Principal, including reviewing and improving internal compliance processes.
* Conduct practical testing related to client money handling and Designated Professional Body (DPB) activities, ensuring strict compliance with legal and regulatory requirements.
* Actively participate in compliance reviews across various departments, providing recommendations and guidance to ensure the firm maintains high standards of regulatory compliance.
6. Stakeholder Management and Cross-Functional Collaboration
* Establish and maintain strong, strategic relationships with both internal and external stakeholders, particularly within the Assurance team and other key business areas.
* Work closely with senior leadership to provide insights on technical matters and support decision-making in areas such as risk management, regulatory affairs, and quality management.
* Foster a culture of compliance and technical excellence within the firm through collaboration, continuous improvement initiatives, and the development of internal resources and capabilities.
7. ICAEW
* Ensuring the company is compliant with all ICAEW and other regulatory matters.
* Key point of contact for technical and ethical queries on accountancy and audit matters and will support all technical updates to both team and clients.
Key Skills and Qualifications:
* Professional Qualification: ACA, ACCA, or equivalent, with significant technical and regulatory experience in accounting or auditing.
* Experience: At least 5-7 years in a technical or regulatory role within a professional services environment, ideally with exposure to audit methodology, financial regulations, and compliance testing.
* Knowledge: Strong understanding of the System of Quality Management, auditing standards (e.g., ISAs), AML regulations, and client money handling protocols.
* Leadership Skills: Proven ability to lead and influence cross-functional teams and act as a trusted advisor to senior management.
* Communication Skills: Excellent written and verbal communication skills, with the ability to explain complex technical issues to non-technical stakeholders.
* Attention to Detail: High level of accuracy and attention to detail in compliance and regulatory matters, with a proactive approach to problem-solving.
* Adaptability: Ability to quickly adapt to changing regulatory landscapes and ensure organisational compliance.
Personal Attributes:
* Passionate about technical compliance and regulatory matters with a drive for continuous learning and professional development.
* Proactive and solutions-focused, with the ability to anticipate challenges and provide practical solutions.
* Strategic thinker who can balance long-term goals with short-term requirements.
* Ability to work under pressure and manage competing priorities effectively.
The Duncan & Toplis group is one of the UK’s top regional accountancy firms, specialising in accountancy, tax, and business advice, as well as supporting clients with legal services, IT support, and wealth management. Established in 1925, the team provide services to more than 12,000 businesses and individuals. We help each other as well as our communities, taking our social responsibility seriously by supporting local initiatives through the Duncan & Toplis Foundation.
Be a Duncan & Toplis team member
At Duncan & Toplis we offer flexible working arrangements through our flexible working guide, called ‘How We Work’. You can read more here.
As part of our benefits package, we also offer mental health support and time to volunteer for charitable work. These are just some of the perks of working at Duncan & Toplis.
Duncan & Toplis develop talent and encourage ambitious individuals to progress their careers and expand their professional and personal development, whilst always ensuring we put our values at the forefront of everything we do.