Compliance Officer Manager

4 days ago

Durban, KwaZulu-Natal, South Africa PKF South Africa Inc. Full time

Job Overview:

PBK Durban seeks a Senior Quality and Risk Manager to join their team, playing a key role within the Firm's system of quality management (SOQM).

  • Key Responsibilities:

    1. System of Quality Management

    • Operational Responsibility: Execute, implement, and monitor all quality procedures and requests in the PKF Durban SOQM Manual, including internal monitoring engagement file reviews and retention processes.

    • Monitoring Activities: Undertake activities related to quality risks and responses devised for the Firm's system of quality management.

    • Findings and Recommendations: Analyze findings from monitoring activities, concluding on the effectiveness of designed responses and proposing changes or additions to policies and procedures.

    • Root Cause Analysis and Remedial Action Plan: Identify deficiencies, perform root cause analysis, and develop remedial action plans, involving organizing meetings, finalizing outcomes, and conducting follow-up monitoring.

    • Co-ordination and Management: Co-ordinate and manage ISQM 1 remedial actions and monitoring activities assigned to others within the Firm.

    • Day-to-Day Management: Manage the Firm's ISQM 1 registers and documents, ensuring they are up to date, complete, and accurate, and providing summary and status reports.

    • Interfacing and Co-ordination: Interface and co-ordinate with PKF International, PKF SA, and/or IRBA during firm or engagement inspections, facilitating the provision of responses to inspection enquiries.

    • Organising and Reviewing: Organise, review, and summarise findings from PKF SA internal monitoring reviews, Firm's internal cold file reviews, and practice assurance reviews.

    • Non-Audit Regulatory Inspections: Organise and co-ordinate non-audit regulatory inspections, responding to related regulatory information requests.

    • First-Level Preparation: Prepare compliance-related annual returns and reporting, such as IRBA, SAICA, and PKF International, and populate the PKF International ISQM 1 digital workspace.

    • Drafting Transparency Report: Provide input into the drafting of the Firm's Transparency Report, ensuring compliance with underlying regulations.

    • Reviewing and Updating Registers: Review, update, and maintain various audit and compliance registers with assistance from the technical and compliance administrator.

    • Continuous Professional Development: Update, implement, and monitor completion of the Firm's continuous professional development policies and procedures.

    • Regulatory Framework Monitoring: Monitor the regulatory framework for updates, identify impacts, and report recommended changes or information to the Firm.

    • Management Oversight: Manage and oversee the technical and compliance administrator.

    • Liaison and Attendance: Liaise with and attend relevant internal, external, and PKF SA meetings and external regulatory events pertaining to compliance matters.

    • Participation in Quality Initiatives: Participate in relevant PKF network-related quality initiatives/projects.

  • Training and Guidance:

    • Preparing and Presenting Compliance Training: Prepare and present compliance-related training, including induction, annual updates, and changes in regulatory requirements.

    • Identifying Training Needs: Identify areas of training based on quality control reviews, prepare content, and present training.

    • Developing Compliance Materials: Develop and issue compliance-related materials, guidance, and articles, such as quality monitoring alerts.

    • Maintaining Intranet Content: Update and maintain compliance-related content on the Firm's intranet.

  • Responding to Queries:

    • Researching and Drafting Responses: Research, draft, and respond to queries covering all compliance matters relevant to the Firm's system of quality management and supporting policies and procedures.

    • Providing Support and Advice: Provide support and advice to the Firm's management and partners.

Requirements:

  • Qualifications and Experience: Registered CA(SA) with at least four years post-qualification/articles experience, preferably as a Manager/Senior Manager or equivalent in an external audit firm.

  • Knowledge and Skills: A very good working knowledge of ISQM 1 & 2 and the IRBA Code, as well as a good working knowledge of relevant SA legislation and regulations.

  • Technical Knowledge and Experience: A good working technical knowledge and experience in auditing and financial reporting standards.

  • Analytical Skills: Excellent analytical skills with a strong attention to detail, ability to deal with complex, multi-faceted issues, and reach clear evidenced-based conclusions.

  • Communication Skills: Ability to communicate verbally and in writing in a clear and concise manner, write and deliver guidance and training materials, and present in front of an audience.

  • Personal Qualities: Elevated level of maturity, self-motivated, able to work both alone and in a team, comfortable in a digital world, and proficient in Microsoft Office.

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