Line of Service Internal Firm Services Industry/Sector Not Applicable Specialism IFS - Risk & Quality (R&Q) Management Level Senior Manager Job Description & Summary The One Firm Risk Organization's Quality Risk and Monitoring team advances and fosters integrity based decision making and conduct.
We promote and monitor compliance with applicable external laws and regulations as well as internal policies and procedures, and thus help manage regulatory, litigation and reputational risk.
The team is responsible for the oversight, completion and monitoring of day-to-day compliance activities to support Pw C's shared responsibility and strategy towards compliance.
The objective of an OFRO Independence In-Flight Review (IIFR) is to provide independence support to engagement teams throughout execution of the engagement.
This support further enables engagement teams to perform non-audit services engagements in compliance with applicable SEC requirements and in accordance with AFS approved engagement letters.
The One Firm Accountability Framework: Services and Relationships Matters aligns with current expectations of each partner and staff member's compliance with Pw C policies, and through heightened accountability, reflect the heightened expectations of stakeholders.
The framework identifies specific actions and behaviors that are expected of each partner and employee to be in compliance with Pw C policies and regulatory requirements.
To really stand out and make us fit for the future in a constantly changing world, each and every one of us at Pw C needs to be a purpose-led and values-driven leader at every level.
To help us achieve this we have the Pw C Professional; our global leadership development framework.
It gives us a single set of expectations across our lines, geographies and career paths, and provides transparency on the skills we need as individuals to be successful and progress in our careers, now and in the future.
As a Senior Manager, you'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution.
Pw C Professional skills and responsibilities for this management level include but are not limited to: Encourage everyone to have a voice and invite opinion from all, including quieter members of the team.
Deal effectively with ambiguous and unstructured problems and situations.
Initiate open and candid coaching conversations at all levels.
Move easily between big picture thinking and managing relevant detail.
Anticipate stakeholder needs, and develop and discuss potential solutions, even before the stakeholder realizes they are required.
Contribute technical knowledge in area of specialism.
Contribute to an environment where people and technology thrive together to accomplish more than they could apart.
Navigate the complexities of cross-border and/or diverse teams and engagements.
Initiate and lead open conversations with teams, clients and stakeholders to build trust.
Uphold the firm's code of ethics and business conduct.
Job Requirements : A history of client service experience for multiple years, preferably in the SEC audit space; Understanding of what services are permissible for SEC restricted entities; Understanding of independence policies, especially around SEC issuer audit clients; Maturity and experience to coach, and if necessary, push back on partners and higher-level team members when issues arise; Sufficient experience in creating and reviewing deliverables that will allow them to compare engagement letter scope to such deliverables; Ability to juggle multiple review files over a long period of time (i.e.
3 to 6 months) and keep track of constantly changing workflows as file reviews follow the progress of the engagement teams; Ability to work and operate during standard US time zones.
Basic Qualifications : Minimum Degree Required: Bachelor Degree Minimum Years of Experience: 6 year(s) of relevant experience Language Skills Required: English Preferred Qualifications: Degree Preferred: Bachelor Degree Preferred Years of Experience: 6 year(s) of risk, compliance or Pw C experience Preferred Knowledge/Skills: Demonstrates extensive abilities and/or a proven record of success in the following areas: Project management skills; Commercial awareness and ability to apply knowledge to complex problems; Ability to think critically about information being provided and categorizing such; Ability to independently work towards completion of preparation of matters for reporting; Communication skills, both written and verbal; Detailed knowledge of independence rules and ability to interpret independence policies and guidance; Driving firm-wide alignment in independence in-flight reviews and accountability framework; Reviewing the annual process critically to implement new ideas, lessons learned, and new potential criteria additions as the business expands; Taking ownership of annual program updates to evaluate compliance with new policies, procedures and global requirements; Being self-motivated and taking ownership of learning Independence scope-of-services policies to gain a deeper understanding of independence policies and guidance, and the application of these policies and guidance to engagement situations and other initiatives.
Managing and presenting internal reporting of results to firm-wide business leaders and other stakeholders; Identifying the need for and driving development of new review frameworks aligned with business and risk and quality strategy.
For the Independence IFR: Provide independence support to engagement teams throughout execution of the engagement enabling engagement teams to perform non-audit services engagements in compliance with applicable SEC requirements and in accordance with AFS approved engagement letters; Provide coaching and guidance regarding mitigation of execution risk and assist project teams in maintaining independence while executing the engagement; Perform check-ins with the project team and audit team at appropriate points during the engagement, based on specific timelines or milestones; Taking ownership of information on reviewees, engagement status and resources required to perform the process; Working independently towards quality completion of deliverable reviews for consistency with the independence rules and the scope of work approved in the AFS and connect with the engagement partner and audit partner as necessary; Complete documentation within the IFR system and ensure appropriate sign-off.
For the Accountability Framework: Prepare and manage matters through the framework including managing caseload (updating cases, tracker and scheduling calls), preparing cases for committee review and report our results; Manage reports and utilize Alteryx and Power Bi to prepare reports for leadership (Quarterly, Bi-annually, Yearly and Ad-hoc); Manage system enhancements and issues through continued communication with developers on desired enhancements, system bugs, open tickets and work with the tech team to resolve.
Education (if blank, degree and/or field of study not specified)Degrees/Field of Study required: Bachelor Degree Degrees/Field of Study preferred: Certifications (if blank, certifications not specified) Required Skills Optional Skills Desired Languages (If blank, desired languages not specified)English Travel Requirements Available for Work Visa Sponsorship? Government Clearance Required? Job Posting End Date #J-18808-Ljbffr