UK Independence Team - Risk Management - ISQM Manager - Leeds

Within the professional services environment, appropriate risk management is fundamental to the successful delivery of our client services and promotion and protection of our brand. Within EY, the UK Risk Management group (which covers audit independence/ethics, conflicts, anti-bribery, anti-money laundering, data protection, enterprise and business risk, and other risk and regulatory areas), is responsible for the promotion, protection and support of risk management within the business. The group aims to uphold our business standards, maintain and enhance the value of the brand, and ensure that the firm complies with the external/internal rules and regulations imposed on the firm in relation to the conduct of its business. 

The UK Independence Team forms part of the UK Risk Management Group which reports directly to senior management

The opportunity

A vacancy exists for an Independence/Ethics Manager within regulatory and reporting area of the team. 

The regulatory and reporting sub function is responsible for oversight of the control environment that governs the Independence team. This includes supporting EY’s firmwide SQM (System of Quality Management) documentation/implementation/reviews, internal audit reviews and external regulatory inspections (FRC/PCAOB). 

This is a permanent, full-time position based in Leeds. 

Your key responsibilities

• Oversight and co-ordination of EY’s SQM Independence control framework - a suite of detect and prevent controls that underpin the work of the Independence team. It will be the responsibility of the role holder to:
  • Ensure documentation for all such controls is up to date and maintained in a timely manner – this will require experience of documenting processes and controls previously
  • Monitor the completion of controls – creation of reports / dashboards for Independence leadership 
  • Liaise with control owners, providing support and guidance as required 
  • Form a strong working relationship with the firm’s central SQM testing team – ensuring the team receives documentation in a timely manner to support timely testing. 
• Responsible for Regulatory breach management: 
  • Supporting Senior Managers and Directors with the resolution and documentation of potential Independence breaches 
  • Management of a breach log – ensuring that the Independence team report all potential regulatory breaches in a timely manner
  • Production of regulatory and policy breach stats for Independence / other leadership – feeding into regulatory / other inspections accordingly
  • Identifying key themes and causes of breaches for inclusion in future independence training and communications to drive future compliance
  • Gathering information in relation to breaches to support implementation of the firm’s consequences framework 
• Playing a key role in the co-ordination of regulatory inspections and requests – FRC, PCAOB
  • Project management – co-ordination working with individuals required to input 
  • Drafting proposed responses for review by senior leadership 
• Lead co-ordinator with respect to Internal (UK and Global) audit inspections 
  • Responsible for ensuring information requests are completed prior to the audit 
  • Responsible for the management of information requests during the audit 
  • Responsible for follow ups / post inspection closure 
• Co-ordination of an annual Global Independence submission - reporting details of regulatory and policy violations incurred during the respective 12-month period. 
• Management of junior staff / offshore colleagues related to associated projects 
• Supporting Independence sub teams with the completion of their respective detect controls, as required 

Experience
Independence expertise is not required, however, candidates with experience working in a similar risk/compliance/internal controls environment is beneficial. 
Candidates must possess the following skills and experience: 

• Strong analytical and interpretation skills with excellent attention to detail
• Extremely organised and able to manage complex projects 
• Ability to multi-task 
• Adaptability and flexibility with good team working skills and the ability to multi-task
• Ability to build strong working relationships with service lines and develop an excellent understanding of their business
• Ability to work to pre-determined deadlines and meet objectives under pressure
• Ability to think strategically and handle complex concepts    
• Proactive approach and capability of working using own initiative
• Ability to manage and coach junior members of the team 
• Strong communication ability with colleagues at all levels including delivering tough messages to senior leaders within the firm

What we offer

We offer a competitive remuneration package where you’ll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer:

• Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.

If you can demonstrate that you meet the criteria above, please contact us as soon as possible.

The exceptional EY experience. It’s yours to build.
 

Apply now.