Manager – Risk and Compliance
The Risk and Compliance team’s areas of activity are extensive, varied and firmwide. The primary focus is on ensuring compliance with all regulatory requirements (principally Audit Regulations, Ethical compliance, ICAEW Practice Assurance and Designated Professional Body regulations) and oversight of the firm’s enterprise risk management (ERM) framework. The team also provides advisory services to fee‑earning and support teams, publishes guidance documentation, prepares and delivers internal briefings, develops firm policy, conducts quality and compliance monitoring and creates and maintains content on the firm’s intranet. The team works closely alongside the firm’s separate Legal, Technical and Financial Crime Compliance teams.
Role Summary
Due to growth in the size of the firm, the services it offers and its client base together with the increasing legal and regulatory environment, we are seeking an experienced individual to join the team at manager level. The focus will be on supporting and enhancing ethics and audit compliance deliverables, with a key emphasis on ISQM (UK) 1 and Ethical matters.
Responsibilities
- Supporting the director and senior managers with the firm’s compliance tasks focusing principally on ISQM (UK) 1 and Ethical matters (FRC Ethical Standard and ICAEW Code of Ethics).
- Preparing quarterly reports for the firm’s internal committees.
- Assisting with external regulatory visits.
- Monitoring and reporting on the firm’s compliance with its ethical and audit compliance policies.
- Responding to queries and consultations received internally from fee earners, including undertaking relevant research.
- Reviewing and updating the firm’s risk, ethics and compliance policies and guidance.
- Preparing internal communications – principally news alerts, bitesize presentations and maintenance of intranet pages.
- Keeping up to date with regulatory or legislative changes that may impact the firm.
- Providing direction and training to junior members of the team.
- Working with the Learning and Development team to prepare and deliver related training.
- Supporting the firm’s strategic and other projects.
- Performing targeted reviews of fee earners’ working papers in response to risk events or professional indemnity insurance notifiable events.
You
- Likely to be a qualified accountant or equivalent.
- Background within audit or the ethics and/or compliance function of a professional services environment.
- Experience of planning, managing, and organizing resources to meet objectives.
- Ability to interpret and act in accordance with complex technical or legislative requirements.
- Ability to develop and manage new approaches and drive continuous improvement.
- Able to influence and change the motivation and behaviour of others.
- Creates a climate where people are motivated to do their best to help the firm achieve its objectives.
- Knows the most effective and efficient processes to optimize results, with a focus on continuous improvement.
- Anticipates and balances the needs of multiple stakeholders, working to identify all relevant issues and satisfy the interests of multiple stakeholders.
- Holds self and others accountable to meet commitments. Readily takes on challenges or difficult tasks and has a reputation for delivering on commitments.
Skills and Competencies
- Knowledge of the ICAEW’s Code of Ethics and the FRC Ethical Standard.
- Ability to analyse and research risk, ethics and compliance queries, providing advice and solutions that are timely and robust.
- Ability to design tests and procedures to check compliance against a set criteria.
- Skills in managing more involved and lengthy tasks, including the ability to plan and prioritise work, meet deadlines and monitor progress.
- Experience of the timely delivery of a portfolio of work of the highest quality.
- A self‑starter who also has the confidence and ability to suggest improvements to processes and to assist in resolving complex or sensitive issues.
- Succinct, accurate and clear communication, both written and oral, in a range of situations and to a range of audiences.
- IT skills – working knowledge of Word, ability to manipulate data in Excel and to prepare PowerPoint presentations with voiceovers.
Knowledge of the following areas is desirable:
- ISQM (UK) 1
- Audit Regulations
- ICAEW Practice Assurance Regime
- ICAEW Disciplinary Bye‑Laws
- Company law
- International Standards on Auditing (UK)
- UK GAAP
- IFRS (UK)
The Office
Ideally London based – though other locations will be considered for the right candidate, with the option to work from home up to 60% of the time (subject to operational needs).
Equality, Diversity & Inclusion
Equality, diversity and inclusion is a top priority for us. With our ED&I strategy, Everyone Belongs, we are building on our positive work culture and implementing initiatives to improve diversity and strengthen our equitable culture of inclusion, led from the top. We hope you will apply to us, whatever your background, ethnicity, gender, age, sexuality, disability or neurodivergence, because individual differences equal collective strength. Built on values of excellence, integrity, enthusiasm and collegiality, Saffery is where potential meets personal.
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