Description

SENIOR COMPLIANCE MANAGER - QUALIFIED ACCOUNTANT WITH ICAEW PRACTISE ASSURANCE/AUDIT COMPLIANCE, FRC, QA OR RISK EXPERIENCE

£50K - £65K + GOOD BENEFITS & BONUSHYBRID (ENGLAND)

REF:4207D

We are recruiting a Senior Technical Compliance Manager for a rapidly expanding firm of Chartered Accountants. Reporting to the Director of Governance, Risk & Compliance (who also heads up the separate AML function) in an interesting and varied role, duties will include;

1. 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
2. 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
3. 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
4. Maintain and update the firm's compliance manuals, policies and procedures, ensuring they remain current with regulatory requirements
5. Track and manage regulatory correspondence, findings, action plans and remediation activity
6. Design and operate the firm's technical audit monitoring programme, including file selection, review methodology and thematic inspection across all audit service lines
7. Lead the evaluation and reporting of audit monitoring outcomes, identifying systemic findings, root causes and trends across the portfolio
8. Develop and maintain audit technical guidance, including updates to audit methodology, templates and working paper standards in response to standard changes and monitoring findings
9. Liaise with engagement teams on monitoring findings, tracking remediation actions and escalating recurring or significant issues
10. Act as the primary point of contact for queries relating to the ICAEW Code of Ethics, ethical standards for auditors and the PCRT
11. Manage the firm's independence policies, including the register of financial interests, prohibited services and fee dependency monitoring
12. Advise on conflicts of interest and maintain the firm's conflict checking procedures
13. Oversee compliance with the HMRC tax adviser registration regime, including identifying relevant persons, monitoring ongoing eligibility conditions and maintaining registration records
14. 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
15. Maintain and update the firm's audit methodology and technical resource library, ensuring materials remain current with standard-setter requirements and regulatory expectations
16. 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
17. Assist with integration and alignment of compliance policies and systems with new acquisitions

You should be a qualified accountant (ACA, ACCA or equivalent) with post-qualification experience in a practice compliance, risk or quality management role, or else from the FRC or ICAEW itself. This should include a working knowledge of ICAEW practice assurance & audit requirements, ISQM 1 & 2 and experience of technical audit monitoring/file review, including identifying findings, root cause analysis and driving remediation. You should also have an understanding of the ICAEW Code of Ethics, ethical standards for auditors and PCRT obligations and be familiar with FRC Audit Quality Review findings and themes.

The role is hybrid (3d pw office) and can be based at one of their nationwide group of offices in or near most major cities in England inc London (but if a long commute then 2d pw office possible) So, if that sounds like you, then please send your details to our MD, David Symes FCAat
mailto:david@compliancerecruitment.com

however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).