Regulatory Case Manager

Milton Keynes

Hybrid working meaning two days in the office and three from home

12-month FTC

Full Time 35 hours

Up to £40,340pa depending on experience

Join our Team as Regulatory Case Manager

The Regulatory Practice team register and licence members, non-members and firms to undertake work in the areas of accountancy regulated by law: audit (including local audit), investment business, probate and insolvency. The team also deals with firms seeking a dispensation to be permitted to use the description Chartered Accountants.

The Regulatory Practice team prepare reports for consideration by regulatory committees where firms are found to have breached their regulatory obligations. They also monitor a large number of firms following a Quality Assurance Department visit, to ensure appropriate actions have been taken to address issues identified.

Overall purpose of this role as Regulatory Case Manager

To manage a portfolio of regulatory cases to a consistently high standard in a professional manner in accordance with ICAEW policies and procedures.??

To work proactively and collaboratively with all colleagues in Professional Standards and other ICAEW departments as required.?

To inspire confidence in ICAEW and the accountancy profession among members and the public.

Regulatory Case Manager Responsibilities include:

• Assess and approve applications for audit registration and responsible individual status, within established guidelines, and refer cases to the Audit Registration Committee that cannot be approved under delegated authority.
• Produce high quality reports clearly communicating issues identified during monitoring reviews and making appropriate recommendations for consideration by the Practice Assurance Committee and Audit Registration Committee.
• Oversee a portfolio of cases following up issues raised during monitoring reviews to a satisfactory conclusion, ensuring decisions made by committees are complied with within required timescales and other ad-hoc monitoring as required.
• Process and approve requests for the withdrawal of regulatory registrations.
• Answer enquiries in a timely manner and provide information to firms, members and ICAEW colleagues within area of technical knowledge.
• Maintain effective systems and procedures to support regulatory casework ensuring departmental Key Performance Indicators are achieved and providing regular updates and feedback on own casework to senior managers.
• Participate in project work as required.

Specific duties will vary from time to time in line with the business needs.

Candidate Profile Regulatory Case Manager

Regulatory Case Manager Requirements include:

• Able to analyse, understand and interpret complex information to make informed decisions based on the presented facts.
• Able to ask insightful questions to gather information for effective decision making, including considering the broader relevance or impact of the information obtained.
• Excellent oral and written communication skills.
• Strong attention to detail and a capability to think innovatively.
• Able to work independently as well as collaboratively within a team environment
• Knowledge of the Money Laundering Regulations, GDPR/Data Protection Act, ICAEW Audit Regulations, Clients' Money Regulations and Code of Ethics desirable.
• Experience of work conducted by ICAEW members/firms and/or experience gained in a similar regulatory role.

For the full role profile please click the document attached.

Why work at ICAEW Regulatory Case Manager?

We want you to enjoy your work and flourish in your role.

Our working environment is friendly and supportive, and we encourage everyone to understand personal differences and treat each other with respect.

We are a diverse organisation, employing skilled and motivated people from all backgrounds and helping them to reach their full potential, through training and development.

Sustainability is important to us, and we work hard to reduce our carbon footprint, whether that's in our buildings through lighting and heating, or encouraging staff to recycle and reduce paper consumption.

Our employee benefits include:

• A substantial suite of training and development
• Flexible working arrangements
• A generous benefits package which includes gym discounts, pension plan, season ticket travel loans and health and dental plans

If applying, please follow the link below, complete the simple 20 minute application form on our website via laptop only.