Regulatory Compliance Expert
We are seeking an experienced professional to oversee our regulatory compliance activities. This role will focus on ensuring the firm's adherence to Irish, UK, and EU regulations, with a particular emphasis on audit regulations.
The successful candidate will serve as an advisor on audit regulatory requirements and play a central role in preparing for and supporting regulatory inspections.
The Role: The Regulatory Compliance Expert will work with the Head of Risk and Quality and Quality and Ethics Director to manage our regulatory requirements related to audit and assurance practice and work on platform/business combinations related activities.
Summary of Responsibilities:
1. Oversee and efficiently manage the firm's regulatory compliance framework, focusing on audit-specific obligations in each jurisdiction.
2. Serve as the in-house expert on regulatory developments, advising leadership and the business on regulatory expectations.
3. Coordinate firmwide readiness for regulatory inspections (IAASA, CAI, FRC, PCAOB), manage the inspection process, and ensure timely resolution of all items.
4. Play a key role in regulator interactions during inspections, ensuring timely and accurate responses.
5. Monitor, interpret, and implement changes in regulatory requirements.
6. Provide strategic input into M&A activity, policy development, and client delivery where applicable.
7. Manage the firm's end-to-end regulatory filings, ensuring timely and accurate submissions to relevant authorities.
8. Maintain robust documentation for regulatory items and associated policies and procedures.
9. Coach, train, and guide business stakeholders to promote best practices in regulatory matters.
10. Champion good practices and behaviour to embed strong regulatory practices within the business.
11. Assist with the auditor registration process for new registrations of the audit firm and/or responsible individuals.
12. Work on platform and/or business combinations related activities as required.
13. Collaborate closely with and escalate matters to the Head of Risk and Quality and the Quality and Ethics Director.
14. Prepare internal reports on regulatory activity as required.
15. Build and maintain positive stakeholder relationships at all levels of the organisation.
16. Provide training and supervision to less experienced colleagues, offering consistent and regular feedback.
17. Adhere to the highest professional standards and maintain strict confidentiality regarding sensitive matters.
18. Support wider firm risk and quality initiatives.
19. Perform other duties as assigned.