Independence, Ethics Senior Manager

SUMMARY:
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POSITION INFO:

Purpose

This role will be a key member of the Compliance Team that supports in building a resilient and successful business, by:

• Designing and facilitating effective and efficient compliance processes with clearly defined roles and responsibilities, that enable business to deliver exceptional client service.
• Being a trusted advisor to business, advising on regulations, policies and procedures and enhancing skills through focused training and awareness programmes.
• Implementing monitoring processes, providing value-add reporting and ensuring remedial action is taken for identified non-compliance.
• Entrenching a strong culture in the firm that is about more than pure compliance, but also about promoting a message that everyone has a role to play in protecting the firm against risk.
  
  The Compliance team is responsible for the "Relevant Ethical Requirements (including Independence)" and "Acceptance and Continuance of Client Relationships and Specific Engagements" components of ISQM1.
  
  The manager role will report to the Associate Director Compliance and will be responsible for designing, implementing and monitoring effective and efficient processes to ensure compliance with policies relating to the Relevant Ethical Requirements (including Independence) components and for managing Compliance Practitioners who play a role in executing certain processes.

Main Duties and Responsibilities

• Manage design and implementation of projects and initiatives, policies and processes, systems/ tools relating to Relevant Ethical Requirements (including Independence).
• Examples of this includes managing the end-to-end processes of different types of ethics and independence declarations, the non-assurance services approval process for Public Interest entities audit clients, facilitating different types of ethics and independence training, maintaining partner rotation schedules, etc.
• Provide training, advice and support to partners, directors and professionals on Ethics, Independence & Conflicts of Interest policies, processes, procedures, and systems.
• Identify risks related quality objectives, assess current controls to determine if appropriate and design controls to further mitigate any identified risks.
• Perform reviews to monitor compliance to policies and procedures and provide input into related risks.
• Manage team of Compliance Practitioners responsible for certain steps in the client an engagement acceptance and independence processes and provide reporting to Associate Director Compliance.
• Key link between Compliance and the Digital Solutions team to ensure effective and efficient automation solutions. Engage with other stakeholders in the firm to ensure a proper understanding and buy-in for defined policies and processes.
• Prepare reporting for Governance Bodies and Committees.
• Identify improvements to existing processes.
• Stakeholder management and engagement

Requirements

Qualifications/Recognition of Prior Learning equivalent

• Matric
• A qualification in accounting, finance, business, external or internal audit. CA(SA) or CIA would be advantageous

Work Experience

• Proven experience in a risk, ethics, conflicts, or independence role within an audit firm or similar financial services setting
• Knowledge
• Intermediate Excel, Word and PowerPoint.
• Strong written and spoken English language skills

Behavioural Competencies

• Strong analytical skills and the ability to assess complex situations to make sound ethical decisions.
• Excellent communication and interpersonal skills to effectively engage with team members and clients on ethics-related matters.
• Ability to maintain confidentiality and handle sensitive information with discretion.
• Demonstrated leadership capabilities and a proactive approach to problem-solving.
• Good interpersonal and organisational skills
• Strong spoken and written communication skills
• Ability to work independently and collaborate with team members
• A proactive approach to continuous improvement
• Project Management

Core Competencies

• Relationships and Collaboration
• Exceptional Client Service
• Engaging people
• Leadership
• Quality, Risk management and Operational performance