Manager – Compliance and Assurance Group (CAG)

Job Summary:

The Manager – Compliance and Assurance Group (CAG) is responsible for overseeing

the day-to-day operations of the service line, managing multiple engagements, ensuring

efficient and high-quality service delivery, and developing the compliance and assurance

team. The role is focused on optimizing engagement execution, maintaining service

excellence, and driving operational efficiency.

This role bridges service execution and strategic oversight, upholding firm policies,

industry best practices, and compliance requirements. The Manager – CAG is not

responsible for the overall strategy, financial performance, or business growth of

the service line—those are the responsibilities of the Service Line Partner. Instead, the

Manager's primary responsibility is ensuring that all engagements are executed

effectively, profitably, and aligned with regulatory and client expectations.

Key Responsibilities:

1. Operational Management and Service Execution

-Oversee the execution of audit, assurance, and tax compliance engagements,

ensuring adherence to firm policies and regulatory standards.

-Develop engagement plans, risk assessments, and audit procedures to align

with IFRS, PFRS, PSA, and Philippine tax regulations.

-Ensure efficient resource allocation by assigning the right team members to

engagements based on skill level and workload capacity.

Implement engagement monitoring tools to track the progress of ongoing

projects, ensuring they are completed on time and within budget.

-Maintain compliance with client engagement contracts, regulatory deadlines,

and industry best practices.

-Review audit working papers, financial statements, tax filings, and

compliance reports to ensure quality and accuracy before submission to

clients and regulatory authorities.

-Provide recommendations to the Service Line Partner on process

improvements, engagement methodologies, and operational efficiencies.

2. Team Leadership, Development, and Performance Management

-Supervise, mentor, and develop a team of Senior Associates and Junior

Associates, ensuring professional growth and technical competency.

-Conduct regular performance evaluations, one-on-one coaching, and career

development discussions for team members.

-Ensure that all team members meet technical competencies, leadership

expectations, and service quality standards based on the firm's competency

matrix.

-Organize technical training programs, knowledge-sharing sessions, and

mentorship initiatives to strengthen team members technical and leadership

skills.

-Lead initiatives to improve team morale, engagement, and overall workplace

culture within the service line.

-Develop a succession plan for high-potential associates, preparing them for

future leadership roles within the firm.

3. Client Engagement and Relationship Management

-Serve as the primary contact for operational-level client management,

ensuring clear communication and excellent service delivery.

-Conduct client meetings, engagement kick-off discussions, and post

engagement reviews to meet expectations.

-Identify client concerns or issues and resolve them promptly, escalating

significant concerns to the Service Line Partner when necessary.

-Maintain client records, engagement documentation, and compliance

tracking systems to ensure accountability and transparency.

-Support the Service Line Partner in client retention efforts by ensuring high

quality service delivery and maintaining strong relationships.

4. Engagement Profitability and Cost Management

-Ensure that engagements are delivered within budgeted hours and resources,

avoiding cost overruns.

-Optimize engagement execution by implementing workflow automation tools,

technology-driven efficiencies, and process improvements.

-Monitor utilization rates, revenue contribution per engagement, and billable

hours to enhance profitability. Prepare engagement performance reports for review by the Service Line Partner, ensuring that financial objectives are met.

5. Quality Control, Compliance, and Risk Management

-Ensure all engagements comply with regulatory and ethical standards to

mitigate firm risk.

-Conduct internal quality control reviews of engagements to ensure work meets

professional and firm standards.

-Implement internal controls and risk management frameworks to safeguard

the firm against regulatory penalties or compliance risks.

-Stay updated on new laws, regulations, and industry trends affecting audit,

assurance, and tax compliance.

Develop risk mitigation strategies to address potential compliance issues before

they escalate proactively.

6. Collaboration with Service Line Partner and Executive Leadership

-Provide operational insights and reports to the Service Line Partner, ensuring

that leadership remains informed of key engagement performance metrics.

-Collaborate with firm leadership to develop new engagement methodologies,

compliance strategies, and efficiency initiatives.

-Participate in leadership meetings, strategic planning discussions, and

service line improvement projects.

-Assist in implementing firm-wide policies and initiatives within the Compliance

and Assurance Group.

Qualifications and Skills:

Education:

Bachelor's degree in Accounting or Finance.

CPA required; additional certifications (CMA, MBA) are advantageous.

Experience:

Minimum of 7–10 years of experience in audit, tax compliance, or assurance,

with at least 5 years in a leadership role.

Proven experience managing engagements, leading teams, and driving

operational efficiency.

Skills and Competencies:

Engagement Leadership: Strong ability to manage multiple concurrent

engagements while ensuring service excellence.

Process Optimization: Experience in workflow automation, engagement

management tools, and efficiency improvements.

Client Relationship Management: Ability to maintain strong operational-level

relationships with clients.

Financial Acumen: Knowledge of engagement profitability tracking,

budgeting, and cost control measures.

Regulatory and Compliance Expertise: In-depth understanding of financial

reporting, assurance standards, and tax compliance requirements.

Communication & Leadership: Strong verbal and written communication skills

for client discussions, internal leadership, and training programs.