Ethics and Compliance Manager

TPF Recruitment is delighted to be supporting a highly respected professional services firm in their search for an experienced Ethics & Compliance Manager.

This is a pivotal role within the organisation, offering the opportunity to shape and safeguard ethical standards, regulatory compliance, and risk management across the firm.

The Opportunity

As Ethics & Compliance Manager, you will work closely with Partners and senior leadership to ensure the business meets its regulatory, ethical, and professional obligations. You’ll act as a trusted advisor on complex matters, helping to maintain the firm’s integrity and reputation.

Key Responsibilities

Your role will include, but is not limited to:

• Acting as the first point of contact for ethical queries, providing clear, practical guidance to staff and partners

• Identifying, managing, and resolving conflicts of interest, including appropriate documentation and escalation

• Supporting dispute resolution through ADR, mediation, or other appropriate approaches

• Reviewing engagement terms and scopes to ensure risks are properly assessed and mitigated

• Managing client complaints, ensuring timely, professional resolution

• Overseeing staff grievance and disciplinary processes in line with internal procedures

• Liaising with professional regulators such as Institute of Chartered Accountants in England and Wales, including handling complaints and compliance reviews

• Managing relationships with professional indemnity insurers, including renewals and claims

• Reviewing contracts and advising on associated risks

• Supporting responses to regulatory enquiries and compliance matters

• Applying and advising on Financial Reporting Council Ethical Standards and the IESBA Code of Ethics

• Assisting with legal and court-related processes when required

• Ensuring full compliance with AML regulations and internal controls

• Maintaining accurate compliance records, reports, and documentation

RequirementsAbout You

We’re looking for a confident, detail-oriented professional who can handle sensitive matters with sound judgement and professionalism.

You will have:

• Qualified Chartered Accountant status (essential)

• Strong knowledge of FRC Ethical Standards and the IESBA Code of Ethics

• Experience working with regulatory bodies such as Institute of Chartered Accountants in England and Wales (desirable)

• Solid understanding of AML regulations and compliance frameworks

• Experience in conflict resolution, complaints handling, or mediation

• Excellent communication and interpersonal skills

• Strong organisational and record-keeping abilities

• A proactive, risk-aware, and solutions-focused approach

• The ability to collaborate effectively with stakeholders at all levels

BenefitsWhat’s on Offer

• Competitive salary tailored to your experience

• Flexible working options, including part-time consideration

• A collaborative and supportive working environment

• The opportunity to play a key role in shaping ethical and compliance standards within a respected firm

• Contact Luke Harrison on