Assurance Regulatory and Compliance Manager

☞ EY

View: 107

Update day: 07-05-2024

Location: Inverness Scotland

Category: Finance / Bank / Stock Sales

Industry: Information Technology Services Computer Software Financial Services

Position: Mid-Senior level

Job type: Full-time

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Job content

The opportunity

To develop, embed and operate a series of prevent controls and processes to ensure that the UKI and FS audit business reach 100% compliance on all HR processes as required by the FRC as regulator. Drive change across Assurance which clearly links compliance with internal talent and people processes and Audit Quality and embed this as business as usual and a baseline expectation of all our people.

Your key responsibilities:
  • Monitoring and driving completion of all cyclical activities for staff and PPEDD’s as part of the annual LEAD cycle, including:
  • Sign-off of Professional Responsibilities and goals
  • Completion of Counsellor comments to feed into the Year-end Finalisation Form
  • Reference to internal and external quality findings within individual activities
  • Reference to internal and external quality findings within the counsellor comment of the YE Finalisation form
  • Completion of Independence Confirmation and Code of Conduct in advance of deadlines
  • Completion of Mandatory learning in advance of deadlines
  • Initiation of formal processes for individuals who do not comply with firm requirements and deadlines
  • Review of all senior role business case submissions, ensuring compliance raising challenge where required
  • Review and approval of PPEDD LEAD detailed appraisal documentation
  • Ensuring appropriate documentation of promotion decisions to Manager and Senior Manager, with reference to quality
  • Ensuring documented decisions of quality ratings for Manager, Senior Manager, Associate Partner and Partner
  • Preparation of responses to regulatory requests, working with the Audit Quality and PPD teams
  • Review of AQR and regulatory findings and recommendations to improve compliance and process
  • Development of communications and learning materials for the Assurance business to increase understanding of linkage between internal process and regulatory requirements, embedding this as a baseline role requirement for all our people
  • Periodic attendance at Audit Quality Board meetings and providing of reporting
  • Building of relationships with HR Operations CoE, Talent Development, PPD, Resourcing, Audit Quality Team and key business stakeholders

Relationship management & Engagement
  • UKI Assurance STL and FSO STL
  • Other Talent functions such as TD and TA2
  • Audit Quality team, PPD, Resourcing
  • Assurance Leaders and AMT

Skills/Experience required:
  • Understanding of the firms’ internal performance process and Assurance mandatory learning and compliance requirements.
  • Understanding of the Audit regulatory and compliance environment and the requirements of professional bodies and members
  • Presenting to senior stakeholders and representing the firm with external regulatory
  • Experience in influencing stakeholders and driving change
  • Experience in process improvement

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.

Please note

Prior to finalizing your application, you will be asked to provide personal information across several dimensions of diversity and inclusiveness. The information you provide is kept entirely confidential and will not be used to evaluate your candidacy. We collect this data to help us analyse our recruitment process holistically and implement actions that promote diversity and inclusiveness. While optional, we encourage you to provide this information to hold us accountable towards our goal of building a better working world. Read more about our commitment to diversity & inclusiveness here. We ask because it matters!

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.

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Deadline: 21-06-2024

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