Ethics Assistant Manager/Manager (0553)

PKF Littlejohn is one of the leading challenger firms in the UK with offices in London, Leeds and Manchester.  We are also an active member of PKF Global, an international network of legally independent accounting firms that gives us an on the ground presence in 150 countries around the world with access to more than 20,000 people across 440 offices globally.

We provide a full range of audit, accountancy, tax and advisory services, and are experts at simplifying complexity.  We are particularly well-known for working with complex clients with challenging issues in fast-moving and highly technical areas, such as the insurance industry, the global capital markets and the not for profit sector.  Our aim is to understand people, the organisations they run, and what matters to them, so we can simplify complexity and help them achieve their ambitions.

Click here to learn more about us.

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Infrastructure 

We are good at getting things done and our Infrastructure team applies this mentality to ensure we have the right tools, technology, strategies and services in place to deliver exceptional client service and future-proof our growing business.

We’re looking for forward-thinking people to come on board and join us within Technical & Compliance, Finance, IT, Training, Human Resources, Business Development/Marketing, Legal, and Administration.

These teams play a key role in the success of the firm as they shape the way we operate. By joining one of these teams, you’ll influence the future of PKF, while enjoying the support, training and opportunities you need to succeed both personally and professionally.

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The Ethics Assistant Manager / Manager performs an important role within the Firm’s system of quality management (SOQM) in providing the day-to-day support to ensure the Firm maintains its independence, avoids conflicts and breaches, and complies with all of the legal and regulatory requirements regarding ethics and independence. This role requires the application of knowledge and expertise in the requirements of the ethical frameworks that apply to a UK audit practice, including those relevant to firms registered to audit public interest entities. 

This is a position that requires an ability to understand and address a multitude of firm-wide matters relevant to the Firm’s overarching ethical frameworks. This includes, but is not limited to, responding to ethical queries, performing monitoring activities on the controls supporting the Firm’s SOQM, undertaking the root cause analysis process for ethical breaches, and developing and delivering ethics training and ethics related materials. You must be a strong team player able to work effectively within the Ethics Function and across the Firm.  You must also have the ability to liaise with and win the confidence of senior partners and staff within the Firm, the Firm’s network, as well as the Firm’s regulatory bodies.

Queries

• Researching, drafting, and responding to queries covering all ethical and independence matters that are relevant to the Firm, which includes, but is not limited to, the Financial Reporting Council’s Revised Ethical Standard, the ICAEW Code of Ethics, the IESBA Code of Ethics and the PCAOB / SEC ethics and independence rules.
• Researching, drafting, and responding to ethical breaches notified to, and or identified by, the Ethics Function.
• Logging ethical queries and breaches in the relevant registers, enacting actions arising from breaches / commonly recurring queries and areas of improvement.
• Assisting in the reporting of themes from the ethical queries and breaches, including the actions or areas of improvement arising to the Firm’s Professional Standards Committee
• Assisting in the responses to regulatory requests for information relating to ethical matters.
• Providing support and advice to the Ethics Partner, the Ethics Function and the Technical and Compliance Partner.

System of quality management

• Researching, drafting, and responding to queries covering all ethical and independence matters that are relevant to the Firm, which includes, but is not limited to, the Financial Reporting Council’s Revised Ethical Standard, the ICAEW Code of Ethics, the IESBA Code of Ethics and the PCAOB / SEC ethics and independence rules.
• Researching, drafting, and responding to ethical breaches notified to, and or identified by, the Ethics Function.
• Logging ethical queries and breaches in the relevant registers, enacting actions arising from breaches / commonly recurring queries and areas of improvement.
• Assisting in the reporting of themes from the ethical queries and breaches, including the actions or areas of improvement arising to the Firm’s Professional Standards Committee
• Assisting in the responses to regulatory requests for information relating to ethical matters.
• Providing support and advice to the Ethics Partner, the Ethics Function and the Technical and Compliance Partner.

Guidance

• Developing and issuing ethics related materials, guidance, and articles - this includes, but is not limited to, the issuance of ethics monitoring alerts and newsletters.
• Updating and maintaining the ethics related content on the Firm’s intranet.

Miscellaneous

• Any other duties appropriate to the grade and level of responsibility of the post, for which the post holder has the necessary experience and/or training.

Skills, Experience and Qualifications

• Either a professional accountancy qualification (e.g. ICAEW, ACCA or equivalent) and newly qualified (Assistant Manager) or with at least  1-year post-qualification experience (Manager) or experience in a similar role (at least 3 years (Manager)). 
• Proven technical skills, knowledge, and experience of the UK ethical and independence requirements (FRC’s Revised Ethical Standard and ICAEW Code of Ethics).
• Working knowledge and experience of the International ethical and independence requirements set out in the IESBA Code of Ethics, and the ethics and independence rules established by the PCAOB and SEC.
• Proficient in Microsoft Office and other applications (e.g., Excel, Word, PowerPoint, and SharePoint).
• Previous experience of:
  • working in audit practice or in a similar role applying ethical standards or similar ethical regulatory frameworks. The role would also be suited to an auditor demonstrating strong technical aptitude looking to move into a role within ethics;
  • writing and delivering guidance and training materials; and
  • working autonomously and as a member of a team.
• Recognised and evidenced ability to:
  • interpret regulations, standards, and codes and how to apply the requirements in a practical manner;
  • deal with complex, multi-faceted issues and reach clear evidenced based conclusions; and
  • communicate verbally and in writing in a clear and concise manner.
• Strong and proven organisational (i.e. time and project management) and presentational skills.

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