Compliance Officer

Job Title: Compliance Officer
Contract Type: Permanent
Location: Borehamwood
Salary: £Highly Competitive Package, including substantial benefits
Reference: CS220319
Contact Name: Tatjana Golovina
Contact Email:
Job Published: December 04, 2019 09:54

Job Description

About Us

At Sopher + Co we make it our business to understand and add value to our clients personal and business affairs whilst building a lasting relationship based on trust and mutual respect.  That’s why so many prestigious clients in the world of entertainment, media, music and show business recommend us year after year. 

Every member of our team is prepared to go the extra mile, displaying levels of enthusiasm that are not found at more conventional firms. In return, we appreciate the need for a healthy work/life balance and offer family friendly benefits.

Due to continuous growth and expansion we’re looking for a Compliance Officer to join our busy accountancy practice in Borehamwood. You will assess and review the firm’s operations and business transactions to ensure compliance, as well as educating and training employees on regulations and industry practices and leading cold file audits. Other key duties and responsibilities include:

  • Developing and implementing an effective legal compliance programme
  • Proactively auditing processes, practices and documents
  • Provide assistance with Client Engagement letters
  • Evaluate business activities (e.g. investments) to assess compliance risk
  • vide advice regarding GPDR and Data Protection Impact Assessments (DPIAs) and act as a contact point for data subjects and the supervisory authority
  • Dealing with and managing claims through insurers
  • Completing training records – ACA / ACCA
  • Liaising with course/training providers
  • Monitor regulated activities
  • Perform other job-related duties as necessary

About You

You’ll ideally have proven experience working in a role of Compliance Officer/Manager, coupled up with previous experience as a qualified Accountant (ACA/ACCA). You will fully understand International Standards of Auditing (UK and Ireland) and Ethics standards and have excellent working knowledge of Audit Regulations, IFRS and Companies Act 2006. Naturally, you’ll have the experience in identifying assessing compliance risks and evaluating business activities, such as investments. Ideally you will also have/be:

  • BSc/BA in law and/or Accountancy, Finance, Business Management or another relevant discipline
  • Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is advantageous
  • Professional accounting practice experience
  • Understanding of all relevant Financial Reporting Standards
  • Experience of Hot/Cold file audits
  • Experience in risk management
  • Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
  • Proven experience in Data Protection and knowledge of the forthcoming changes would be a distinct advantage
  • Strong time management skills
  • Ability to work autonomously
  • Excellent attention to detail

In Return

We will offer you a highly competitive package, including extensive benefits for you and your family, a comfortable, warm and friendly environment with great people and the chance to work with some of the most prestigious clients that no other family-based firm can offer. Sopher + Co strongly believe in staff development and continuously encourage internal progression.

Sopher + Co is committed to the principle of equality of opportunity in employment and we expect all our employees to act in accordance with this policy, we recognise the key role it plays in the success of our business.