Senior Technical & Compliance Manager

DJH; Hempstalls; On-site; GBP 70,000 - 100,000; Full time

Benefits offered by this job

Competitive salary

Generous holiday allowance + birthday

Volunteer day

Job summary

DJH is an award-winning accountancy firm with offices across the UK and Ireland. We are recruiting a Senior Technical & Compliance Manager to lead the firm's compliance and quality framework from Stoke-on-Trent or our Manchester offices.

You will own ISQM 1/2, oversee ICAEW practice assurance, monitor HMRC/ICAEW developments, update policies and manuals, and manage monitoring visits. You’ll also lead training, ethics, audits, and reporting to the Directors to drive continuous improvement across

Qualifications

• Significant post-qualification experience in a practice environment, including a compliance, risk or quality management role.
• Strong working knowledge of ICAEW practice assurance and audit requirements and ISQM 1 / ISQM 2.
• Demonstrable experience of technical audit monitoring or file review, including identifying findings, root cause analysis and driving remediation.
• Sound understanding of the ICAEW Code of Ethics, ethical standards for auditors and PCRT obligations.
• Strong working knowledge of ISAs (UK), FRC quality and audit standards, and familiarity with FRC Audit Quality Review findings and themes.

Responsibilities

• Lead the firm's compliance with ICAEW practice assurance and audit requirements and manage all aspects of monitoring visits, including preparation, responses and follow-up.
• Own and develop the firm's quality management framework under ISQM 1 and ISQM 2, including the annual evaluation of the system of quality management.
• Monitor developments from HMRC, ICAEW and other regulatory bodies, assessing impact on firm policies and procedures and communicating findings to Partners and team members.
• Maintain and update the firm's compliance manuals, policies and procedures, ensuring they remain current with regulatory requirements.
• Track and manage regulatory correspondence, findings, action plans and remediation activity.
• Design and operate the firm's technical audit monitoring programme, including file selection, review methodology and thematic inspection across all audit service lines.

Skills

Compliance management

Audit standards knowledge

Ethics & independence

Technical audit monitoring

Regulatory reporting

Education

ACA or ACCA or equivalent

Job description

Senior Technical & Compliance Manager

Department: Other

Employment Type: Permanent

Location: Stoke on Trent

Description

DJH is an award-winning accountancy firm with offices across the UK and Ireland. We work with businesses as partners - not just for them - to achieve great things together. Our multidisciplinary team delivers a full range of services including audit, accounts, tax, R&D, corporate finance, capital allowances, estate planning and international advice.

Lets talk about the role...

We're recruiting at a senior level to be centre of our compliance and quality framework, whether that's based out of our Head Office in Stoke-on-Trent or one of our Manchester based offices!

Regulatory Compliance & Quality Management

• Lead the firm's compliance with ICAEW practice assurance and audit requirements and manage all aspects of monitoring visits, including preparation, responses and follow-up
• Own and develop the firm's quality management framework under ISQM 1 and ISQM 2, including the annual evaluation of the system of quality management
• Monitor developments from the HMRC, ICAEW and other regulatory bodies, assessing the impact on firm policies and procedures and communicating findings to Partners and team members
• Maintain and update the firm's compliance manuals, policies and procedures, ensuring they remain current with regulatory requirements
• Track and manage regulatory correspondence, findings, action plans and remediation activity

Technical Audit & Monitoring

• Design and operate the firm's technical audit monitoring programme, including file selection, review methodology and thematic inspection across all audit service lines
• Lead the evaluation and reporting of audit monitoring outcomes, identifying systemic findings, root causes and trends across the portfolio
• Develop and maintain audit technical guidance, including updates to audit methodology, templates and working paper standards in response to standard changes and monitoring findings
• Liaise with engagement teams on monitoring findings, tracking remediation actions and escalating recurring or significant issues to the Director group

Ethics & Independence

• Act as the primary point of contact for queries relating to the ICAEW Code of Ethics, ethical standards for auditors and the PCRT
• Manage the firm's independence policies, including the register of financial interests, prohibited services and fee dependency monitoring
• Advise on conflicts of interest and maintain the firm's conflict checking procedures
• Oversee compliance with the HMRC tax adviser registration regime, including identifying relevant persons, monitoring ongoing eligibility conditions and maintaining registration records

Audit Standards & Technical Development

• Monitor developments in auditing standards (ISAs (UK), FRC guidance and FRC Audit Quality Review findings), assessing the impact on firm methodology and communicating updates to audit teams
• Maintain and update the firm's audit methodology and technical resource library, ensuring materials remain current with standard-setter requirements and regulatory expectations
• Support the implementation and ongoing development of the firm's audit technology platform, working with engagement teams to promote consistent and effective use of audit tools
• Assisting and managing technical queries
• Assist with integration and alignment of compliance policies and systems with new acquisitions

Training & Awareness

• Design and deliver compliance and technical CPD for Partners and team members, covering audit monitoring findings, ethics, regulatory updates and emerging requirements
• Develop and maintain compliance communications including alerts, guidance notes and policy summaries
• Support the induction of new starters on compliance obligations and firm policies

Reporting & Leadership

• Report regularly to the Director group on compliance matters, regulatory developments and the outcomes of the quality management evaluation
• Contribute to firm-wide strategy and quality improvement initiatives
• Build effective relationships across all service lines, offices and support functions

Lets talk about you and your skills...

Hungry for a new challenge, you'll have these essentials:

• ACA, ACCA or equivalent professional qualification
• Significant post-qualification experience in a practice environment, including a compliance, risk or quality management role
• Strong working knowledge of ICAEW practice assurance and audit requirements and ISQM 1 / ISQM 2
• Demonstrable experience of technical audit monitoring or file review, including identifying findings, root cause analysis and driving remediation
• Sound understanding of the ICAEW Code of Ethics, ethical standards for auditors and PCRT obligations
• Strong working knowledge of ISAs (UK), FRC quality and audit standards, and familiarity with FRC Audit Quality Review findings and themes
• Excellent written communication skills - able to produce clear, practical guidance on complex regulatory topics
• Strong organisational skills with the ability to manage multiple workstreams and competing deadlines
• Confident and credible - able to advise and challenge Directors and senior colleagues constructively
• Pragmatic and solutions-focused, balancing regulatory rigour with commercial awareness
• Exceptional attention to detail and organisational skills
• High degree of personal integrity and professional discretion
• Proactive in identifying compliance risks and driving improvements
• Collaborative and approachable, with the ability to build trust across the firm

Want to know what we'd think is a bonus?

You'll have:

• Knowledge of the HMRC tax adviser registration requirements (Finance Act 2025 regime)
• Experience of preparing for and managing ICAEW practice assurance monitoring visits
• Experience of designing or managing a firm-wide technical audit monitoring programme, including reporting to leadership on outcomes and improvement actions
• Previous involvement in delivering compliance training or CPD

Lets talk benefits...

Here's a few reasons to come and join us, but you'll find a lot more once you get your feet under the table:

• Competitive salary
• Generous holiday allowance with an extra day off to celebrate your birthday
• Holiday purchase scheme
• Volunteer day
• Flexible hybrid working
• Tailored learning and development
• Salary sacrifice car scheme
• Company pension
• Health MOTs
• Mental health support
• A fully loaded wellbeing, social & community calendar.