Head of Regulatory Compliance and Ethics

Job Title

Head of Regulatory Compliance & Ethics

Location

London

Salary

£100,000 - £140,000

A leading professional services firm is seeking a Head of Regulatory Compliance & Ethics to take ownership of all regulatory and ethical compliance matters across the business.

This is a senior leadership role responsible for ensuring adherence to ICAEW regulations , strengthening risk management frameworks, and embedding a strong culture of ethical behaviour. The successful candidate will act as a trusted advisor to the leadership team, providing expert guidance on compliance, regulation, and best practice.

What you will be doing as Head of Regulatory Compliance & Ethics

Regulatory Compliance

• Ensure full compliance with ICAEW regulations, standards, and guidelines
• Monitor regulatory changes and communicate updates across the firm
• Lead internal audits, identifying and addressing areas of non-compliance
• Oversee completion of ICAEW Annual Returns
• Act as the primary contact for ICAEW and FRC regulatory reviews
• Take on key regulatory designations including Audit Compliance, Practice Assurance, Compliance, Ethics, and Bribery Officer roles
• Oversee client money compliance in line with ICAEW Client Money Regulations

Ethical Compliance

• Develop and promote ethical policies and procedures
• Provide guidance and training to staff on ethical best practices
• Investigate potential breaches and recommend corrective actions

Policy Development & Enforcement

• Maintain and update compliance policies and documentation
• Conduct annual DPB reviews and report findings
• Deliver firm-wide compliance training and awareness initiatives
• Enforce policies and address non-compliance effectively

Training & Culture

• Design and deliver training on regulatory and ethical standards
• Promote a culture of compliance and continuous improvement
• Ensure all employees understand their responsibilities

What you will need to succeed as Head of Regulatory Compliance & Ethics

• ACA or ACCA qualified (or equivalent)
• Significant experience in a senior compliance, risk, or regulatory role within professional services or accountancy
• Audit qualification or equivalent experience (RI status preferred)
• Strong knowledge of ICAEW regulations and ethical standards
• Deep understanding of compliance, audit, and risk frameworks
• Excellent communication and stakeholder management skills
• Analytical and detail-oriented approach
• Proven leadership and team management capability
• High level of integrity and professionalism
• Strategic, forward-thinking mindset
• Pragmatic, diplomatic, and approachable
• Comfortable handling sensitive and complex issues

Why join this firm?

• Private medical insurance with mental health support
• Health cash plan and employee assistance programme
• Competitive pension scheme
• Life assurance
• Retail discounts and cashback schemes
• Cycle to Work and Electric Vehicle schemes
• Season ticket loan and mortgage advice
• Enhanced family leave policies
• Generous holiday allowance (increasing with progression)

What next?

The client is keen to start interviewing NOW! So, if you are interested, please apply ASAP!

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As an employer, we are committed to ensuring the representation of people from all backgrounds regardless of their gender identity or expression, sexual orientation, race, religion, ethnicity, age, neurodiversity, disability status, or any other aspect which makes them unique. We welcome applicants from all backgrounds to apply and would encourage you to let us know if there are steps, we can take to ensure that your recruitment process enables you to present yourself in a way that makes you comfortable.