Job Details
Responsibilities
Thepliance Manager/Senior Manager plays a vital role in the Firm's System of Quality Management (SOQM), supporting individuals within the SOQM and the Professional Standardsmittee (PSC). This role involves enhancing quality monitoring processes related to regulatory matters, ensuring the Firm's SOQM remainspliant and effective.
Key Duties:
.Addressing firm-wide regulatory requirements, including audit, practice assurance, and other regulatory matters.
.Collaborating effectively within the department and across the Firm, liaising with senior partners, staff, network members, and regulatory bodies.
.Researching, drafting, and responding topliance queries, including audit registrations, regulatory returns, standards, and quality management policies.
.Supporting and advising the Firm'spliance partners.
Training & Guidance:
.Preparing and presentingpliance-related training sessions.
.Developing and distributingpliance materials and guidance.
.Updating and maintainingpliance content on the Firm's intranet.
System of Quality Management:
.Monitoring quality risks and responses for the Firm's SOQM.
.Reporting findings and rmending changes to policies, procedures, quality risks, and responses.
.Conducting root cause analysis for identified deficiencies and overseeing remedial actions.
.Managing the ISQM 1 remedial actions and monitoring activities.
.Maintaining the Firm's ISQM 1 registers and documents.
.Organizing internal reviews, practice assurance reviews, and non-audit regulatory inspections.
Person Specification
.Professional accountancy qualification (, ICAEW, ACCA) with at least 3 years post-qualification experience for Senior Manager / 1-year for Manager.
.Strong knowledge of UK legislation and regulations, includingpanies Act 2006, Audit Regulations, QAD, AQR, UK GAAP, IFRS, ISAs, ISQMs, FRC's Revised Ethical Standard, and ICAEW
.Proficiency in Microsoft Office and other applications (Excel, Word, PowerPoint, SharePoint).
Experience:
.Working in audit practice or a similarpliance role.
.Writing and delivering guidance and training materials.
.Working independently and as part of a team.
.Interpreting and applying regulations and standards practically.
.Handlingplex issues and drawing evidence-based conclusions.
.Clear and concise verbal and writtenmunication.
.Strong organizational and presentation skills
Job ID ES-WSR-244
