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Compliance Assistant Manager job in London at Smith & Williamson

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Compliance Assistant Manager at Smith & Williamson

Compliance Assistant Manager

Smith & Williamson London, Greater London Full Time
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Purpose of Role

Part of the technical compliance team, providing support to the RRS business line nationally in all aspects of technical and compliance support, including analysing and reporting on compliance performance to ensure all statutory and regulatory requirements are met. The team is responsible for ensuring accurate and quality technical documentation and providing guidance and support to develop best working practice across all RRS offices.

Reports to – Head of Restructuring & Recovery Services


Technical updates

  • Updating national RRS team on technical changes arising from inter alia legislative changes, case law, SIPs and best practice guidance via time efficient updates to standard documentation, regular detailed updates and input into policy for staff training and provision of training when necessary
  • Dealing with ad-hoc internal case specific queries and problems and providing advice and support regarding engagement and legal documentation on advisory work
  • Researching and reporting on ad-hoc legal and technical matters at the request of RRS Compliance Partner and/or line management
  • Organise, attend (virtual or otherwise where appropriate) and participate in meetings of the Technical & Compliance Committee and attend (virtual or otherwise) the insolvency Recognised Professional Body (RPB) technical meetings when required
  • Maintain technical library
  • Maintain technical pages on the Firm’s intranet
  • Documentation

  • To continually review, maintain / update and as necessary create / establish additional best practice RRS standard case documentation and packs to ensure full adherence to legislation, rules, regulations, regulatory guidance and SIPs including:
  • Checklists
  • Forms
  • Letters/reports
  • Work programmes
  • IPS diaries
  • Updating documentation proactively for future changes in statute, case law, rules, regulations, SIPs and regulatory and best practice guidance
  • Compliance

  • Liaising with external / 3rd party peer review contractors as part of the agreed regulatory peer review process
  • Liaising with the insolvency Recognised Professional Body (RPB) regarding the programme of regulatory inspections and self-certifications
  • Acting as the central contact and co-ordinator for external/3rd party peer review contractors and insolvency RPB during their visits and supporting the IPs in respect of such visits
  • Providing ad-hoc summaries of regulatory reports / peer reviews and other matters to RRS Compliance Partner to escalate to S&W Legal & Compliance and Operations Committee
  • Input to departmental take-on processes
  • General / Ad-hoc

  • Maintaining and monitoring the central RRS complaints, PII notifications and annual PII returns logs and liaising with Legal & Compliance / Risk and the relevant IPs in relation to such matters
  • Liaising with Learning & Development as appropriate for any team development matters
  • Liaising with in-house lawyers as appropriate for any ad-hoc queries
  • Attendance (virtual or otherwise) at training sessions and technical forums as appropriate
  • Ad-hoc liaison with internal S&W departments for specific insolvency/RRS department related queries as appropriate
  • To analyse, judge and assess controls for RRS department’s risk analysis
  • To attend all UK offices on a periodic basis to assist with general issues or queries depending on any COVID-19 guidance and/or restrictions that may be in place at the time
  • Networking and marketing through external relationship building with lawyers
  • Key Competencies:

  • Problem Solving: Need to be able to recognise and solve insolvency-related technical and compliance problems
  • Project Management: Close liaison with internal and external colleagues to ensure reviews and other technical/compliance projects are completed efficiently and on time to meet internal targets
  • Judgment: Ability to determine where a compliance breach may arise and to deal with its resolution appropriately (ideally with preventative measures)
  • Written Communication: Drafting accurate and quality technical updates and establishing best practice documentation nationally
  • Planning and Organising: Ensure that case reviews are carried out efficiently and with minimum disruption to the relevant office. To plan and provide any Compliance or Technical training sessions, as required, to RRS staff
  • Technical Expertise: To provide advice and support to any technical queries from the teams and acting as senior risk and quality sounding board to RRS partners and staff
  • Candidate Profile


  • Ideally qualified accountant or solicitor with JIEB
  • Key Experience/Skills:

  • Experience of UK insolvency and legal processes essential, able to demonstrate clear understanding of regulatory and statutory requirements and ethical matters
  • Detailed knowledge of insolvency legislation and other relevant statutes, rules, regulations, etc.
  • Quick to learn/adapt to new procedures/situations or different legislation, rules, regulations, etc.
  • Ability to organise and to be able to work on several different assignments at one time
  • Knowledge of regulatory and best practice
  • Relevant management experience and skills – practical experience of the management of insolvency cases
  • Inter-personal skills – able to communicate effectively across all levels
  • Analytical/organisation skills – able to review and take commercial decisions
  • Excellent attention to detail
  • Good working knowledge of Turnkey IPS and MS Office


    Recommended Skills

    Complex Problem Solving
    Technical Matters
    Team Building
    Technical Training
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