Commissionaire & Compliance Manager

Job type:
Start date:
6 months
Larson Group
Published at:
flag_no United Kingdom
Project ID:

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Job Profile:

Job Title: Commissionaire & Compliance Manager

Location: Maidenhead

Rate: Negotiable

Length: 6 months

Main duties and responsibilities:

  • Commissionaire Accounting
    • Design and implement consistent and automated reporting of commissionaire P&Ls
    • Monthly BVA analysis completed and understood
    • Work with affiliate business partners to streamline process and ensure Manila team are processing all standard journals
    • Finalise all Commissionaire templates by C+2 each month-end
    • Work with Regional redistribution team to ensure maximum visibility and timeliness of balance finalisation
  • Compliance
    • Training
      • Induction and education of ELC team on compliance, documentation requirements, handoffs, testing etc
    • User Access - review and approve user access, providing justification for role assignment
    • SOD
      • Own DCM and SOPs for Users Access and SOD
      • Quarterly reviews of access and profile conflicts
      • Monthly monitoring of performed conflicts
      • Quarterly cross systems compilation & review
    • SOX Coordination
      • Manage SOX 404 program
        • DCM & SOP sign off
        • Testing plan
        • Testing coordination and review
        • Certification process
    • Records retention
      • Own annual policy review and retention schedule
      • Coordinate clear ups
    • 3rd Party Audits
      • Design audit approach on any new services provided by third party partners
      • Produce management performance reports of third party partners.
  • Audit
    • Internal & External
      • Coordinate dates and requirements for the annual CIA visit
      • Facilitate and organise the audit to ensure all runs smoothly & efficiently
  • People management
    • One direct report - objective setting, coaching & development, career planning and appraisals.
  • Representing ELC Finance, as the COE, on project integration resulting from Business changes and SAP roll-out to ensure the solutions are consistent, compliant and fiscally accurate.
  • Assisting with Ad Hoc projects or tasks when required.

Key Tasks:

Daily: Access requests, line management

Monthly: Commissionaire reporting, SOX report signoff

Annually: Third party audits, Appraisals, objectives setting, development and succession planning.


  • Fully qualified accountant PQE, preferably ACA, for minimum of 5 years with over 10 years' work experience in a financial environment.
  • Prepared to travel in connection with professional responsibilities - up to 10%.
  • Audit & SoX experience preferred
  • Process improvement focused
If you are interested in this role, please do not hesitate to contact me: Camilla Cousins.