Senior Compliance Officer - Audit Monitoring

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Senior Compliance Officer - Audit Monitoring

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Join to apply for the Senior Compliance Officer - Audit Monitoring role at ACCA Careers

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ACCA is committed to a workplace culture which is inclusive, diverse, human and connected.

We're currently looking for a Senior Audit / Compliance Officer on a full time, permanent basis. This position sits within the Compliance team.

This role can be offered on a hybrid basis from out London or Glasgow offices or as a remote role based from home.

The job

Reporting to the Lead Senior Compliance Officer, on a day to day basis, you'll be involved in the following:

• Plan and conduct monitoring visits, to firms holding a UK or Ireland auditing certificate and/or CAA-Atol licence issued by ACCA, in accordance with defined procedures; identify and communicate any necessary improvements in the firm's work to ensure that it is complying with relevant standards, ACCA's Global Practising Regulations and the Code of Ethics and Conduct.
• Consider and recommend further regulatory action, where appropriate.
• Prepare and issue on a timely basis a detailed report to the firm (or, as appropriate, the Admissions and Licensing Committee or Regulatory Assessor) after each monitoring visit which confirms the findings and any required or recommended future action.
• Provide information as necessary to other departments (such as Authorisation and Investigations) in accordance with defined procedures to ensure that ACCA is able to discharge its regulatory responsibilities effectively and efficiently.
• Carry out peer reviews of visit reports produced by colleagues in the Compliance team in accordance with defined procedures to ensure consistency of approach across the department and maintain the quality of written output.
• Ensure that the firm responds to the visit report and provides any outstanding information by the date specified, including adhering to the procedures laid down for issuing reminders, where necessary. Respond to post-visit correspondence from the firm, including the assessment of any action plan to improve the standard of the firm's work, and providing further guidance as necessary.
• Contribute to the design, implementation and review of regulatory procedures and systems to ensure efficient and effective performance of the Compliance team as a whole.
  
  

• has a recognised professional accountancy qualification (ACCA or equivalent)
• has significant post-qualification experience at manager level or equivalent in an audit practice environment
• has in-depth technical knowledge of International Standards on Auditing, Ethical Standards and the relevant sections of ACCA's Rulebook
• has the ability to communicate confidently, effectively and appropriately with experienced, qualified audit practitioners, both orally and in writing
• has the ability to build strong working relationships and manage potentially difficult individuals, while remaining calm, assertive and professional at all times
• has sound judgment and be able to make reasoned and appropriate decisions
• has an organised and methodical approach and be able to work to strict deadlines
• is self-motivated and able to work independently with the minimum of supervision
• has extensive practical experience of applying relevant standards
• has an appreciation of the importance of appropriate management controls and corresponding "best practice" in the accountancy profession.
• must hold a UK/Republic of Ireland driving licence and have access to own vehicle.
  
  

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Accounting

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