Senior Technical & Compliance Manager

Lead the firm's compliance with ICAEW practice assurance and audit requirements and manage all aspects of monitoring visits, including preparation, responses and follow-up

Own and develop the firm's quality management framework under ISQM 1 and ISQM 2, including the annual evaluation of the system of quality management

Monitor developments from the HMRC, ICAEW and other regulatory bodies, assessing the impact on firm policies and procedures and communicating findings to Partners and team members

Maintain and update the firm's compliance manuals, policies and procedures, ensuring they remain current with regulatory requirements

Track and manage regulatory correspondence, findings, action plans and remediation activity

Design and operate the firm’s technical audit monitoring programme, including file selection, review methodology and thematic inspection across all audit service lines

Lead the evaluation and reporting of audit monitoring outcomes, identifying systemic findings, root causes and trends across the portfolio

Develop and maintain audit technical guidance, including updates to audit methodology, templates and working paper standards in response to standard changes and monitoring findings

Liaise with engagement teams on monitoring findings, tracking remediation actions and escalating recurring or significant issues to the Director group

Act as the primary point of contact for queries relating to the ICAEW Code of Ethics, ethical standards for auditors and the PCRT

Manage the firm's independence policies, including the register of financial interests, prohibited services and fee dependency monitoring

Advise on conflicts of interest and maintain the firm's conflict checking procedures

Oversee compliance with the HMRC tax adviser registration regime, including identifying relevant persons, monitoring ongoing eligibility conditions and maintaining registration records

Monitor developments in auditing standards (ISAs (UK), FRC guidance and FRC Audit Quality Review findings), assessing the impact on firm methodology and communicating updates to audit teams

Maintain and update the firm’s audit methodology and technical resource library, ensuring materials remain current with standard-setter requirements and regulatory expectations

Support the implementation and ongoing development of the firm’s audit technology platform, working with engagement teams to promote consistent and effective use of audit tools

Assisting and managing technical queries

Assist with integration and alignment of compliance policies and systems with new acquisitions

Design and deliver compliance and technical CPD for Partners and team members, covering audit monitoring findings, ethics, regulatory updates and emerging requirements

Develop and maintain compliance communications including alerts, guidance notes and policy summaries

Support the induction of new starters on compliance obligations and firm policies

Report regularly to the Director group on compliance matters, regulatory developments and the outcomes of the quality management evaluation

Contribute to firm-wide strategy and quality improvement initiatives

Build effective relationships across all service lines, offices and support functions