An exciting opportunity has arisen to work in the Quality and Risk Management Team of a top 10 based practice, based in London. As Investigations Director, you will provides leadership, guidance and tools to help partners and staff manage quality and risk matters so they can win and retain profitable clients.
The team is comprises of a Legal Team, an Advisory and Compliance Team and an Information Security Team.
The role encompasses investigating and managing practice protection matters to achieve the best possible outcomes. The types of matters likely to require investigation and resolution include regulatory investigations and enforcement actions (in particular, ICAEW investigations and FRC case examination and enforcement investigations), claims and complaints, whistleblowing reports and prior year restatements of the financial statements of audit clients.
Duties will include:
* Day to day management of practice protection matters which require highly experienced specialist accounting and auditing knowledge.
* Investigation of complaints, claims, whistleblowing matters and root cause analysis.
* Ensuring investigations are well documented with reports and bundles suitable for presentation to internal boards and governance committees, external legal advisers, and/or regulators as appropriate.
* Working with service lines to develop action plans and solutions following investigations. Monitoring the implementation of such action plans.
* Development of plans in response to regulatory developments (particularly in relation to enforcement actions) and themes emerging from investigations. Assessing the impact on quality and risk policies and processes and communicating the impact to our partners and staff.
* General regulatory and risk management advice to the team and the business in general.
* Developing and delivering learning and development programmes
* Special projects and other general quality and risk management support to the Quality and Risk Management partners.
You will have:
* Business thinking: The ability to understand the firm's business strategy and goals and develop solutions aligned to these. The ability to interpret regulations and to determine practical and effective ways of complying with them.
* Regulatory and risk management knowledge: Good experience and knowledge of the regulations and regulatory environment for an accountancy firm. Solid technical expertise in the areas of auditing, financial reporting and professional ethics.
* Investigations expertise: Experience of regulatory investigations and enforcement actions (ideally ICAEW and FRC). Wider investigations expertise such as expert witness work and root cause analysis.
* Communicating: Strong written and verbal communication skills coupled with strong interpersonal skills. Ability to communicate effectively and with credibility to external parties such as regulators.
* Collaborating: The ability to build relationships across the firm and gain the confidence of senior partners (at leadership level).
* Decision making - The ability to investigate and resolve problems and determine appropriate actions.
* Developing self and others: An interest in deepening your knowledge of the current regulatory environment and risk management processes. Energy and enthusiasm and a willingness to share your knowledge and experience with others (including senior partners).
If this position interests you, please apply today