Stage 15: Complete the Compliance Manager application form

This application form will need to be completed by the person or persons in the firm who will be responsible for Practice Management and Accounts Management. In small firms it is often one person that will overseeing both so only one application form needs to be completed. However, where the Compliance Manager role is shared between two people, one covering practice management and the other accounts management, both Compliance Managers will need to complete their own application form.

Remember when completing this form, they will need to support the application form with evidence that demonstrates that they have the relevant skills, knowledge and understanding for each Learning Outcome in the Compliance Manager Competence Frameworks. A copy of the Competence Frameworks can be found here.

For more information on the completion of this form and how you can go about evidencing your skills, knowledge and understanding please refer to Stage 3 and Stage 4.

Individuals will need to make declarations regarding any prior conduct matters. Do consider whether these will have an impact on any role you seek to gain authorisation for.

The following links and document will help you with this stage:

Will I need to complete anything else?

We do need two references for the compliance manager and this is covered in the application form.

It is possible that we will need to arrange for a Disclosure and Barring Service check to be carried out on the compliance manager(s) in your firm.

We will advise you of this upon receipt of your application and how this can simply be arranged. Details of DBS checks can be found here