JOB DESCRIPTION DETAILS
The Ethics & Independence Supervisor leads the day-to-day operations of the Ethics & Independence function and oversees the team's delivery of compliance monitoring, advisory, and risk management activities. This role partners with firm leadership to identify and address ethics and independence risks, support regulatory compliance, and promote ethical decision-making throughout the firm.
PRIMARY DUTIES & RESPONSIBILITIES
- Lead the implementation and administration of the Firm's Ethics & Independence (E&I) policies, procedures, and compliance programs.
- Supervise, coach, and develop E&I team members to ensure consistent, high-quality delivery of compliance monitoring and advisory services.
- Provide guidance and consultation to partners, engagement teams, and staff on ethics, independence, conflict-of-interest, and regulatory matters.
- Oversee independence compliance processes, including personal independence, financial interests, business relationships, and related monitoring activities.
- Review and assess client acceptance, continuance, and engagement matters for ethics, independence, and conflict-of-interest risks.
- Monitor, investigate, and facilitate resolution of ethics and independence exceptions, violations, and other compliance-related issues.
- Develop and deliver training, communications, and awareness initiatives to promote a strong culture of ethics, integrity, and compliance.
- Prepare and present ethics and independence reports, metrics, and compliance updates to firm leadership and relevant governance bodies.
- Support internal inspections, external regulatory reviews, and quality management initiatives related to ethics and independence compliance.
- Drive continuous improvement of E&I processes, systems, and controls to enhance efficiency, consistency, and regulatory compliance.
QUALIFICATIONS
- Bachelor's degree in any business course, such as Accountancy, Internal Audit, Finance, Economics, Statistics, Management, Business or other related fields
- At least five years of experience in ethics and independence implementation, compliance, audit or business support within the financial services industry
- Familiarity with the Code of Ethics for Professional accountants
- Technical acumen
- Commercial awareness
PREFERRED QUALIFICATIONS
- Certified Public Accountant
- Knowledge in PowerApps and Power BI
- Postgraduate qualifications in any business-related courses
- Ability to build relationships with stakeholders
- Analytical and with a good eye for detail
- Excellent communication skills
