Manager - Ethics
The Risk and Compliance team are responsible for ensuring the firm’s compliance with its regulatory requirements. It works closely with Technical, Legal and Financial Crime and Compliance teams to provide partners and staff with guidance and support to enable them to identify and manage the firm’s risk.
Due to growth in the firm, as well as the increasingly complex regulatory environment, the Risk and Compliance team are looking for an experienced individual to join the team at manager level. Reporting to the Senior Manager - Ethics, the successful candidate will support the operation and continuous improvement of the firm’s ethics and independence framework.
This is an ideal opportunity for a professionally qualified accountant with audit experience, or an individual who has worked in the ethics function within professional services, who is looking to develop their career in a key and varied support role in practice outside of direct client work.
The role
- To support the Senior Manager – Ethics, you will be responsible for interpreting ethical standards (FRC Ethical Standards and ICAEW Code of Ethics), providing advice to the firm on day-to-day questions, escalating complex issues are needed, as well as monitoring the compliance of the firm's ethics and independence framework.
- Act as a key point of contact to provide advice to the form for day-to-day ethical and independence matters, escalating complex, sensitive or higher-risk matters where appropriate.
- Monitor compliance with ethical requirements and the firm’s policies and support the assessment of the effectiveness of related controls.
- Identify and implement improvements to ethics-related processes and systems.
- Draft, maintain and implement ethical and independence policies, procedures and guidance, under the direction of the Senior Manager – Ethics.
- Coordinate and monitor declarations, approvals and annual compliance processes, following up exceptions and overdue actions.
- Undertake and support investigations into ethical breaches and independence incidents and coordinate responses and remedial actions.
- Monitor regulatory developments from the FRC, ICAEW and other relevant bodies and draft technical guidance, briefing papers and communications on emerging ethical issues.
- Prepare clear and accurate reports, management information and presentations for senior leadership and governance bodies.
- Support external regulatory inspections and monitoring visits, including coordinating information requests and contributing to required reporting to regulators.
- Support the annual assessment of ethics-related quality objectives and risks within the firm’s system of quality management.
- Help develop ethics and independence training and produce practical learning materials and guidance.
- Support, coach and share knowledge with junior members of the team and contribute to work allocation and prioritisation across ethics activities.
About you
You’ll display a positive approach to work and an ability to thrive in a small, supportive team environment. In addition, you’ll have the confidence and professionalism to establish credibility at all levels and a clear perception of risk, compliance and ethical requirements.
- Either be a qualified accountant or equivalent with audit experience or from a background in an ethics function within a professional services environment.
- Good knowledge of the ICAEW’s Code of Ethics and the FRC Ethical Standard;
- Knowledge of ISQM (UK) 1 is desirable;
- Excellent IT skills, including Microsoft Office and comfortable working with, and analysing, datasets and management information.
- Ability to research ethical issues, develop practical solutions, improve processes and contribute to continuous improvement.
- Strong organisational and project management skills, including the ability to plan and prioritise involved tasks, meet deadlines whilst managing competing priorities.
- Able to build constructive relationships, influence stakeholders and provide appropriate challenge with confidence and professionalism.
- Succinct, accurate and clear communication, both written and oral, in a range of situations and to a range of audiences;
- Applies effective and efficient processes to deliver accurate, high-quality results, with a focus on continuous improvement.
- Takes ownership for commitments, manages challenges constructively and has a reputation for reliable delivery.
The office
Ideally London based, though other locations will be considered for the right candidate, with the option to work from home 60% of the time (subject to operational needs).
The team
There are six members in the Risk and Compliance department working across compliance, quality management and ethics with strong working relationships with the technical, legal and insurance functions. The department is overseen by the Risk and Ethics Partners.
About us
- Saffery LLP is an adviser to individuals and businesses across a range of sectors, providing market-leading accountancy, audit, business advisory, tax and VAT services. Founded in 1855, we are the UK’s 15th largest accountancy firm.
- When you work with us at Saffery, you work with people who know your name, not just a job title. We’re a place shaped by friendly, intelligent people who are individually excellent and collectively exceptional. We’re committed to our clients, but also to our greatest asset – our people.
- As a proud member of Nexia, a leading, international network of independent accounting and consulting firms, we’ve got access to local insight on a global scale.
Equality, Diversity & Inclusion
- Equality, diversity and inclusion is a top priority for us. With our ED&I strategy, Everyone Belongs, we are building on our positive work culture and implementing initiatives to improve diversity and strengthen our equitable culture of inclusion, led from the top.
- We hope you will apply to us, whatever your background, ethnicity, gender, age, sexuality, disability or neurodivergence, because individual differences equal collective strength. Built on values of excellence, integrity, enthusiasm and collegiality, Saffery is where Potential meets Personal.