Our clients quality and risk management Team provides leadership, guidance, and tools to help partners and staff manage quality and risk matters.
The team is comprised of an Advisory and Compliance Team, a Chief Information Security Office Team, an Economic Crime Team, a Legal Team including a Commercial & Contracts Team, an Ethics Team plus the Quality Monitoring Team.
The team works closely with the firm’s Technical Standards Group and the firm’s leadership.
You’ll be working in the Ethics Team and managing firm independence matters. You will work with senior members of the team and support the Ethics Partner and Ethics Director to deliver the team’s strategy.
You will also support the team to deliver the UK firm’s responsibilities in complying with the Independence and Ethics requirements of the firms’ Risk and Quality framework.
The role would suit an experienced manager or senior manager who has previously worked in a role applying ethical standards or a similar regulatory framework, or a qualified accountant who has worked in audit.
Previous knowledge of independence regulations and their impact on non-audit services would be beneficial. You should enjoy carrying out detailed analysis of laws and regulations with an ability to then apply the relevant information in varied practical and complex situations.
The principal responsibilities for this role include:
- Responding to ethical and independence queries and consultations from partners and members of staff from across the firm where they relate to non-audit services. This involves regular contact with senior members of the firm and resolving their queries accurately, seeking further guidance where necessary.
- Supporting the Ethics Director and Ethics Partner in the design and implementation of systems and controls, ISQM1 requirements, and in delivering the overall ethics function’s strategy.
- Managing more junior members of the team in co-ordinating projects and in responding to queries.
- Providing team oversight and guidance and management reporting / escalation.
- Maintaining and updating the firm’s ethical and independence guidance and policy in respect of the FRC’s new Ethical Standard and other regulatory standards.
- Developing learning materials on ethical and independence matters.
- Assisting the Ethics Director and Ethics Partner in responding to regulator queries and annual compliance testing, ensuring that programmes deliver on quality and meet deadlines.
- Enhance ways of working, bringing ideas and solutions to the Ethics Team.
- Writing articles and other materials on ethical matters for internal and external communications.
- Delivering training sessions internally across all streams.
Skills:
- Relevant experience in a similar position applying ethical standards or a similar regulatory framework. Or qualified accountant with experience of audit.
- An understanding of the ICAEW Code of Ethics and the FRC’s Ethical Standard for auditors would be strongly desired.
- Understanding of regulation and how to interpret and apply rules in a practical way.
- Understanding of risk management principles and how to apply these in practice.
- Strong communication skills – both written and oral – with the ability to communicate confidently and professionally with people at all levels.
- Working effectively within a team, seeks coaching where appropriate and communicates progress effectively.
- A self-starter with exceptional project management skills and ability to work well under pressure.
- Strong coaching and people management skills.
- Strong analytical, consultative, decision making and organisational skills.
- Good interpersonal skills, with ability to create productive relationships across the firm and network and to influence other senior professionals.
- A conscientious and thorough approach with strong attention to detail. Takes pride in delivering accurate and high-quality work.
- Takes personal responsibility and accountability for own work and is able to deliver a range of projects and tasks through to completion.
- An ability to develop further knowledge of the rules, policies and procedures.
- Highly motivated with a desire to seek new ways / approaches to improve the firm’s service to internal clients.
- High level of professional standards including integrity and professional behaviour.
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