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UK Independence Team – Risk Management – Independence Manager (Personal Independence)
Within the professional services environment, appropriate risk management is fundamental to the successful delivery of our client services and promotion and protection of our brand. Within EY, the Risk Management (RM) group (which covers audit Independence, anti-bribery, anti-money laundering, data protection, enterprise and business risk, and other risk and regulatory areas), is responsible for the promotion, protection and support of risk management within the business. The group aims to uphold our business standards, maintain and enhance the value of the brand, and ensure that the firm complies with the rules and regulations imposed on it in relation to the conduct of its business.
The UK Independence Team forms part of the UK&I Risk Management Group (“RM”) which reports directly to senior management.
The opportunity
Independence is an area of continued scrutiny by regulators and EY Risk Management now has a vacancy for a new Independence Manager within the Personal Independence area of the team.
This is a permanent, full-time position based in London or Leeds.
The Personal Independence Team is responsible for supporting our partners and client facing professionals to ensure that their personal investments and relationships comply with the firm’s Independence policies and the rules and regulations imposed by external regulatory bodies such as the UK Financial Reporting Council, US Securities and Exchange Commission, The Irish Auditing & Accounting Supervisory Authority and the International Ethics Standards Board for Accountants.
Your Key Responsibilities
* Managing our systems, processes and procedures ensuring that we are meeting the requirements of our systems of quality control under ISQM1 and delivering quality at the highest levels
* Responding to regulatory requests and findings from practice reviews by preparing appropriate reports and action plans, followed by implementation of the proposed actions
* Analysing and resolving potential Independence breaches
* Handling a broad range of personal independence, investment product and pension consultations
* Working directly with new Partner level hires to ensure they are compliant with Independence requirements prior to joining the firm
* Supporting Independence Partners and Directors on Independence related activities
* Liaising and collaborating with the other Managers and Senior Managers in Personal Independence as well as the broader Independence team to ensure compliance within relevant deadlines
* Setting clear targets and monitoring performance and progress against timetable. Managing and developing members of the personal independence team
To qualify for the role, you must
* Have working knowledge and experience as an Independence professional, ideally at Manager rank
* Have experience in managing a team with the ability to lead, coach and guide junior team members.
* Take a proactive and commercial approach to resolving complex and difficult independence challenges while ensuring compliance with the internal/external regulations
* Have strong project management skills and proficiency at driving projects to a close working to pre-determined deadlines and meeting objectives under pressure
* Be capable of using own initiative
* Have excellent communication skills and be able to communicate effectively with colleagues at all levels particularly delivering sensitive messages to senior leaders within the firm
* Have strong analytical and interpretation skills, with an ability to think strategically and handle complex concepts
* Be adaptable and flexible with a desire to provide exceptional support
Ideally, you’ll also have
* A strong working knowledge of the concept of Ethics and Independence, in particular under the UK FRC Ethical Standard, IESBA Code of Ethics and US SEC regulations (not essential).
* An understanding of working in a Risk Management environment.
What We Offer
* Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
* Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
* Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
* Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.
If you can demonstrate that you meet the criteria above, please contact us as soon as possible.
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