Financial Compliance Manager

Job title: Financial Compliance Manager

Reporting to: Chief Financial Officer

Department: Accounts

Purpose of role: To assist the CFO in the conduct of his role as COFA. In addition, assist with the internal audit of the firm’s financial and regulatory procedures and controls.

Hours: Permanent, full-time

Location: London, Hybrid

Reviewed: October 2026

Job responsibilities

• Conduct regular file reviews to assist compliance with SAR rules
• Maintain the firm’s list of key controls, risks and procedures in line with SRA/COFA requirements
• Maintain and update the firm’s accounts procedures manual
• Liaise with the COLP and compliance manager as required
• Devise and conduct internal audit tests of the firm’s accounts procedures
• Document and report on findings and recommend improvements to procedures
• Assess, evaluate and promote compliance with internal Stewarts policies
• Conduct risk assessments and identify controls in place to mitigate identified risks
• Contribute as appropriate to the year-end audit with the external auditor
• Conduct SAR and accounts procedures training for fee earners and annual SAR training for accounts department staff
• Undertake training to new solicitors of the SAR rules, as well as promoting them firmwide
• Other duties as delegated from time to time by the CFO
• Management responsibility – supervision of a Senior Accounts Assistant
• Approve Payments on the Firm’s banking system

Knowledge & Experience

• Good working knowledge of Microsoft packages and other relevant IT systems
• Previous experience in a solicitors accounts office
• Knowledge of Solicitors Accounts Rules
• Good standard of education and fully accounting qualified
• Excellent report writing skills are required to document work done, and make recommendations as necessary
• Experience of the Elite 3E system

Core Competencies

• Well organised, uses initiative, prioritises appropriately, applies self, shows attention to detail, manages own workload and meets deadlines
• Demonstrates excellent communication and interpersonal skills (respectful, positive, articulate, professional and sympathetic)
• Delivers helpful internal services with a “can do” approach, shows commercial awareness and represents the department/firm appropriately
• Shares information and ideas
• Accepts and follows instructions, listens, makes notes, questions appropriately, cooperates
• Shows sound judgement and decision-making skills; acts within boundaries
• Shows commitment, passion and enthusiasm
• Is a respectful, reliable and supportive team player
• Reflects the firm’s culture