JOB SUMMARY

Are you ready to take on a high-impact leadership role that prioritizes flexibility and work-life balance? With no busy season hours and flexible work arrangements, including remote and hybrid options, this role empowers you to thrive both professionally and personally. Be a key player in safeguarding our firm's integrity and elevating its quality management practices, all while enjoying a balanced and rewarding career.

The Personal Ethics and Independence Compliance Leader holds an operational leadership role, instrumental in establishing, implementing, and enforcing policies and procedures designed to enable the firm and its personnel to meet the independence and ethics requirements issued by regulatory bodies such as the AICPA, SEC, PCAOB, and DOL. This role involves guiding the strategic direction and critical supervision of our firm's attest practice and quality management system as it relates to independence and ethics. Working in close collaboration with executive leadership, this role drives initiatives to elevate overall firm quality and compliance standards relative to independence and ethics.

As an essential member of the National Office team, the Personal Ethics and Independence Compliance Leader collaborates extensively with the UHY LLP Managing Partner and UHY LLP Management Committee to advance firm-wide quality initiatives and ensure alignment with strategic objectives and compliance with professional and regulatory requirements.

JOB DESCRIPTION

Regular duties include (but are not limited to):

Independence Matters

• Overall responsibility for independence governance throughout the firm, including presenting assessments of potential independence conflicts and coordinating resolution of such conflicts with the firm’s UHY LLP Senior Independence Team and Independence Committee.
• Monitoring independence developments from the AICPA, SEC, PCAOB, DOL, and GAO throughout the year and lead discussions with UHY Senior Independence Team to identify any policies requiring update. 
• Oversee and lead the firm’s Investment / Independence Audits including determining which professionals are eligible for audit, evaluating the appropriateness of the selections, evaluating if the results require reprimand or further remedial action and researching complex matters.
• Oversee and lead the implementation of an entity tree management system and conflict monitoring process for current and prospective clients of the firm.
• Oversee and lead all independence, ethics and compliance related trainings and implementation of respective guidance for the firm and its personnel. Ensure training materials reflect current independence risks and updates, providing feedback on any needed improvements.
• Oversee responses to independence requests from UHY network firms.
• Monitor the SEC and Restricted Client List, including monitoring changes in SEC clients and all client filings in EDGAR. 
• Oversight of the data analysis and review of updated SEC and Restricted client lists, including monitoring changes in SEC client base and querying client filings in EDGAR, corporate tree management of subsidiaries and affiliates, and evaluating conflicts that arise through independence checks.
• Assist the National Office with data requests from external regulators, membership quality centers of the AICPA, vendors, etc. as needed.

Quality Governance

• Participating in the Quality Control of the firm and reporting in bimonthly UHY LLP Management Committee meetings and contributing to the formulation, revision, and dissemination of policies adopted by the UHY LLP Management Committee to the firm’s professional staff.
• Participate in monthly Attest Leaders’ meetings and discussing changes in professional standards, regulatory requirements, and/or accounting updates.

Quality Management

• Overall ownership for the firm’s system of quality management pertaining to independence and ethics, including designing, implementing, and operating procedures to ensure compliance with the Quality Management Standards of the PCAOB, IAASB, and AICPA.
• Work with other National Office colleagues to operate and evaluate our current system of quality management, including performing risk assessments and monitoring.
• Collaborate with stakeholders across UHY to gain an understanding of the risks to quality objectives as defined by the quality management statements.
• Assist with the review and documentation of processes and controls, including designing effective monitoring controls to monitor the firm’s system of quality management.

Quality Management Policy Updates

• Ensuring timely updates are made to the UHY LLP Quality Management Policy by monitoring firm policy change