Case Examiner and Head of Case Examination & Enquiries
Case Examiner and Head of Case Examinations and Enquiries
£113120 plus a wide range of other benefits
- Are you a fully qualified (CCAB or equivalent) Accountant or Lawyer/Legal professional with experience in a technical environment with an excellent understanding of the regulatory framework's auditors, Accountants and Actuaries operate in?
- Do you have significant understanding of the responsibilities of accountants in business, auditors and directors?
- Do you have a good understanding of regulatory policy making?
If so, read on. An independent regulator who also sets the UK's Corporate Governance for the accountancy and actuarial sector, are seeking Case Examiners and Head of Case Examinations and enquiries
You will use you experience within audit/accountancy, law or professional services as a Case Examiner to carry out enquiries of potential breaches under the audit enforcement procedure. These may include potential misconduct or breaches within the Accounting and Actuarial schemes, which such bodies operate. These may be high-profile matters of public interest, as well as complex cases and dealing with adhoc complaints
Main duties and responsibilities will include:
- Investigating cases and determining whether matters should progress by reviewing the information provided and deciding on the appropriate resolution (if any) and the merits of the matter reported, as well as deciding if it should be referred to the conduct committees
- Conducting enquiries into potential cases under the relevant procedural rules that accountants and actuaries are governed but and determining if the matter should be referred for action or closed
- Acting as the principle complaints contact for all complaints and whistleblowing disclosures made in respect to alleged breaches of relevant requirements by auditors/accountants and actuaries
- Producing detailed reports to the Conduct Committee in relation to individual cases meriting investigation, applying the guidance and tests in the relevant disciplinary procedures and in accordance with public law principles
- Producing regular reports to the Conduct Committee as to progress and outcomes on individual enquiries and issues arising
- Maintaining a register of current and potential issues which may require consideration by the organisation or another regulator and developing and maintaining other relevant management information.
- Liaising closely with the lawyers and forensic accountants within the Enforcement Division.
- Regular and effective liaison with professional bodies and other relevant regulators and law enforcement agencies, in particular the FCA, PRA, SFO, tPR and Insolvency Service.
- Leading the implementation of changes to the work of the function as a result of the Kingman, Brydon, and CMA reviews.
- Leading, growing and managing the team, including recruiting, retaining, and developing staff with suitable accounting, audit experience.
To be considered for this role:
- You will be a CCAB qualified accountant or lawyer/legal professional with experience within a technical environment
- You will have significant understanding of the regulations and environment in which accountants, auditors and actuaries operate
- You have a good understanding of regulatory policy making within the accounting, audit and actuarial sector
- Experience of drafting formal documents
- Confidence and ability to exercise independent decision-making responsibility in circumstances where senior individuals may have robustly held different views
- Ability to deal sympathetically but firmly and fairly with complainants and whistle-blowers
- Ability to assimilate, analyse and present complex information clearly and consistently, identifying the key factors in issue.
- Ability to make authoritative, independent judgements in the public interest in a public law context.
In return you will enjoy challenging but interesting casework which is in the public interest and use a wide range of your skills. The organisation offers a structured career path, generous benefits and a flexible work/life balance and working arrangements. It is a supportive and close knit "family feel" organisation with a diverse and inclusive environment.
As an employer, we are committed to ensuring representation of people from all backgrounds regardless of their gender identity or expression, sexual orientation, race, religion, ethnicity, age, neurodiversity, disability status, or any other aspect which makes them unique. We welcome applicants from all backgrounds to apply and would encourage you to let us know if there are steps, we can take to ensure that your recruitment process enables you to present yourself in a way that makes you comfortable.
If you know anyone looking for a new role, your referral could earn you £250
The Pro-Recruitment Group consists of five distinct brands: Pro-Tax , Pro-Legal , Pro-Finance , Pro-HR and Pro-Marketing . If you or anyone you know is looking to join our growing recruitment team, speak to us today. £250 is on offer for any referrals we successfully hire.