Audit Quality RCA Senior Manager

2 weeks ago

London, United Kingdom Tampa Gardens Senior Living Full time

Who we are

Here at MHA, we take the time to create great relationships with our clients to become not just their trusted advisers, but valued partners that face the future together.

As a Top 13 firm of chartered accountants, tax and business advisers, we work in partnership with clients ranging from entrepreneurs and individuals to multi-national corporations. We work together to navigate an ever-changing business world and proactively identify the opportunities that tomorrow presents.

Leveraging our national network of offices, we offer a comprehensive range of financial and business strategy services to clients across the UK, enabling them to achieve profitable growth and build sustainable long-term success.

As a member of Baker Tilly International, we have a global reach that allows us to offer our insight and expertise wherever our clients need us to be. We believe this makes us a national and international partner of choice for entrepreneurs and multi-national enterprises across the world.

Our agile and responsive approach means we are always on hand to have the right conversations with clients at the right time, allowing us to identify their goals and business needs both now, and in the future.

Purpose of the role

This role is an opportunity to join our growing Technical Team to help manage the implementation of the firm’s audit quality strategy. You will be primarily responsible for performing Root Cause Analysis (RCA) and managing the monitoring and remediation processes relating to findings and deficiencies noted from internal quality reviews and external inspections.

This will involve working with the Head of Technical, Audit Quality Director, other members of the Technical Team, and the firm’s Audit Policy Group (APG) as necessary.

Main responsibilities

Audit Quality and Root Cause Analysis

  • Lead development of the RCA methodology and oversee the performance of RCAs on internal and external inspections. This will involve developing an approach, gathering evidence, analyzing findings, drafting a remediation plan, implementing and monitoring remedial actions, as well as managing key stakeholder relationships.
  • Communicate RCA matters and findings via written reports, policies, and guidance as well as firmwide training sessions held online and in person.
  • Assist in formulating and implementing the firm’s audit quality strategy and plans, in conjunction with the Audit Quality Director, Head of Technical, and APG. This will include the RCA sections of the firm’s audit quality improvement plan.
  • Consider outcomes from RCA and quality improvement processes and regulatory audit inspections as necessary, and liaise as necessary with Learning & Development (L&D) and the Audit Methodology Team regarding additions to and improvements in guidance, methodology, and policies and procedures, along with relevant training.
  • Support the adoption of the Audit Firm Governance Code and the definition and reporting of firm-level Audit Quality Indicators.

Other responsibilities

  • Assisting with the performance of other quality reviews encompassing hot and cold file reviews, Engagement Quality Reviews (EQRs), and thematic reviews.
  • Assistance with technical queries relating to audit and audit methodology.
  • Feed into appraisals of other Technical Team members with whom you have worked closely.

Decision making parameters

  • Referring any contentious issues to the Audit Quality Director and the Head of Technical, as appropriate.
  • Differentiating and identifying root causes and causal factors from observations in respect of relevant areas of improvement addressed by root cause analysis.
  • Devising remedial actions to relevant quality shortcomings identified by reviews and root cause analysis.
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