JOB SUMMARY

As a Conflict Checks Senior, you will play a key role in supporting the firm’s commitment to independence and ethical compliance. You will assist in the day-to-day management of the firm’s conflict checking and entity independence processes, helping engagement teams identify, evaluate, and address potential conflicts. This includes reviewing flagged conflicts, conducting preliminary research, providing guidance, and escalating issues as appropriate to ensure compliance with regulatory and firm standards.

This role reports to the Independence and Ethics Compliance Leader of the UHY LLP National Office and works closely with the Conflict Checks Manager to maintain alignment with the firm’s ethical and regulatory obligations.

JOB DESCRIPTION

Conflicts & Independence Responsibilities

• Coordinate and execute the day-to-day conflict check process by reviewing potential conflicts identified through the firm’s conflict checking system, researching client and engagement relationships, and advising engagement teams on independence considerations prior to client acceptance

• Evaluate conflict check submissions and prepare recommendations for escalation to the Manager, Independence and Ethics Compliance Leader, or Independence Committee when higher-level review is required

• Support the investment audit process by tracking auditee selections, reviewing initial findings, and preparing summaries for Manager review

• Monitor independence-related updates issued by regulatory bodies (e.g., AICPA, PCAOB, SEC, DOL, GAO) and assist in assessing impacts on firm processes and tools

• Maintain and update conflict monitoring systems and tools (e.g., Intapp, Entity-tree management), ensuring accuracy and completeness of data and identifying opportunities for process improvements

• Respond to inquiries from UHY engagement teams and UHY international network firms by performing initial research and providing preliminary guidance or escalation recommendations

• Contribute to training and awareness efforts by providing real-case insights and feedback to help refine the firm’s training related to conflict checks and independence.

Collaboration and Quality Management

• Support the Manager in contributing to UHY LLP Management Committee discussions by preparing updates, summaries, and documentation related to conflicts and independence procedures

• Apply knowledge of quality management standards to help maintain processes and monitoring activities that support independence and ethics compliance

• Collaborate with National Office team members to help document and evaluate controls related to conflict checking and independence, including gathering process information and coordinating testing activities

• Assist in maintaining standardized conflict check procedures and identifying opportunities to improve consistency and efficiency across engagement teams

• Coordinate communication with independence personnel across UHY international network firms to support consistency and responsiveness on shared engagement matters

Supervisory responsibilities

• N/A

Work environment

• Work can be conducted remotely or in a professional office environment with minimal distractions

Physical demands

• Prolonged periods of sitting at a desk and performing work in front of a computer screen for long periods of time

• Must be able to lift up to 15 pounds at a time

Travel required

• Travel of 5% to 10% is required for attendance at conferences, attendance, and/or facilitation of in-person training and National Office Team Meetings

Required education and experience

• Bachelor's degree in accounting, business, or related field

• Paralegal certificate or related experience performing conflict checks in a professional services firm

• 3+ of experience in public accounting, at a law or professional services firm, including time spent supporting independence, compliance, or conflicts

Preferred education and experience

• Experience with Intapp, Deltek Maconomy, and Salesforce

• Familiarity with the implementation and ongoing maintenance of quality such as SQMS No. 1, ISQM1 and QC 1000

• Familiarity with the Independence rules and Standards for the AICPA, PCAOB, SEC, DOL, and GAO. Familiarity with GASB standards