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Quality & Risk Management Manager - Assurance

Information About This Job

Job Title: Quality & Risk Management Manager - Assurance
Contract Type: Contract
Location: London
Industry:
Salary: Competitive salary
Duration: 12 month FTC
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: over 1 year ago

Job Description

About The Role

The firm has 1000 professionals delivering external audit and other assurance services to clients within the financial service industry.  It also has a dynamic and fast growing Financial Accounting and Advisory Services (FAAS) and Extended Assurance (EA) group. The UK practice operates across 12 international locations and encompasses more than 3,000 staff.

As the Q&RM manager, you will be responsible for organising and managing various risk project and quality initiatives for the practice in accordance with the business’ requirements and policies. The Quality & Risk Management team is responsible for ensuring the firm’s compliance with the rules and regulations imposed either by external professional regulatory bodies or by the firm in relation to the conduct of the firm’s assurance business in the financial services industry.

 

Key Responsibilities

Chief Operating Officer

Perform the COO role for the wider team, which will include:

  • Arranging and preparing materials for the bi-annual strategy day
  • Managing the team’s project list including the creation and management of the quarterly priority list
  • Providing regular updates to the team leaders

PACE (Process for Acceptance of Clients and Engagements)

  • Responsible for overseeing all PACE queries received from the practice, including providing training to client teams and coaching individuals through PACE issues, also:
  • Being a PACE super user
  • Overseeing junior team member’s response to queries 
  • Liaising with the central PACE team

AQR

Project managing the logistics of the annual Audit Quality Review, including:

  • Being the contact for the EMEIA AQR team
  • Being the point of contact for the reviewers whilst in London for the duration of the AQR (2 weeks)
  • Coordinating the information for EMEIA AQR

Partner rotation and EQR

  • Planning and managing the annual portfolio validation project
  • Coordinating and preparing the paper for the bi-annual Rotation Board
  • Ensuring that the Partner Rotation Database (PRD) is up to date and reflective of our current client base and partner/director portfolios
  • Reviewing compliance with partner rotation policies 
  • Responsible for resourcing the team’s EQR requirements, including monitoring their compliance with internal policies

Compliance monitoring

Responsible for planning and performing the assessment of the partner and director’s quality assessment, including:

  • Coordinating the  review process
  • Selecting appropriate engagement samples
  • Reviewing selected engagements for compliance with firm’s policies
  • Communicating the results, recommendations and final grading to the partner/director involved

Lost data incidents

  • Be the point of contact for the central Lost Data Incident team for any data losses within FS Assurance
  • Provide support and advice to any team’s affected by the incident e.g. was their client’s data potentially compromised in the loss

Responding to regulatory requests

  • Managing and compiling the response to the annual regulatory requests
  • Dealing with any ad-hoc information requests from the regulator or internal teams

Dashboard

  • Responsible for compiling the management information for the wider PPD and Risk Management team

GPPM

  • Coordinate the relevant information needed to assess the annual partner and director Quality rating

Other

  • Reporting to two senior managers, with overall reporting to an executive director
  • Delivering risk management training to all levels of staff and partners
  • Other quality/ risk management projects which may arise on an ad hoc basis
  • Ensuring data integrity of internal systems such as the PRD, PACE, GIS
  • Liaising with UK&I QRM contributing to their goals and objectives and ensuring consistency across business units.

Management of other team members

Responsible for managing and coaching junior members of the team on a daily basis, including oversight of their work in the following areas:

  • ARC monitoring
  • Production of PACE reports
  • Production of PRD reporting
  • Maintenance of firm’s systems e.g. PRD updates
  • Ad-hoc reporting

 

Skills & Experience

  • Excellent communication skills, including the confidence to articulate to individuals of all grade and levels
  • A background in quality & risk management or compliance is essential 
  • A working knowledge of the firm's current systems e.g. PACE/GIS is highly desirable
  • Strong organisational and project management skills, including the ability to plan ahead and manage your time 
  • Experience of managing teams is preferred including the ability to encourage and motivate people 
  • Experience of financial services is preferred, but not essential

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