Compliance Manager (Independence, Conflicts & Ethics)

Job Description

Our client is a respected professional services firm dedicated to building a resilient and successful business by enabling exceptional client service through robust governance. They are currently undergoing an exciting phase of evolution offering a unique opportunity for a driven professional to take full ownership of critical compliance frameworks. This is a role where you can genuinely influence process design move beyond pure adherence and shape the firms ethical culture offering much more agility and impact than typically found in larger more established environments.

Are you a seasoned compliance professional with deep hands-on experience in the nuances of audit independence and professional ethics Do you thrive when given the autonomy to design implement and own critical risk frameworks

This Compliance Manager role offers significant accountability and the freedom to drive substantial change. Reporting into Senior Leadership you will be the trusted advisor responsible for embedding a strong ethical culture across the firm. You wont just be ticking boxes; you will be designing efficient automated processes advising Partners and Directors directly and leading key initiatives that protect the firms reputation and quality objectives. If you are ready to step into a high-visibility position where your technical expertise directly translates into tangible improvements and you are comfortable engaging confidently with senior leadership this is your opportunity to build something impactful.

• Own and Manage:Take full accountability for designing implementing and monitoring effective processes related to auditor independence conflicts of interest and relevant ethical requirements (in line with ISQM1 components).
• Trusted Advisory:Serve as the primary subject matter expert providing clear practical advice and targeted training to Partners Directors and professional staff on complex ethics and conflicts matters.
• Process Innovation:Drive the automation agenda by acting as the key liaison between Compliance and Digital Solutions teams to ensure efficient modern compliance systems are implemented.
• Risk Mitigation:Proactively identify quality risks assess current controls and design robust new controls to mitigate identified gaps ensuring compliance with regulatory bodies (e.g. IRBA).
• Stakeholder Influence:Effectively engage with various internal stakeholders across the firm to ensure deep understanding buy-in and successful embedding of new policies and procedures.
• Reporting & Governance:Prepare high-quality value-add compliance reports for Governance Bodies and Committees.
• Team Leadership:Oversee and mentor junior team members (including interns) responsible for day-to-day request processing.

Must-Haves (Essential)

• Degree in Accounting Finance Law or a related field

• Proven in-depth experience within an audit firm environment specifically focused on:

  • Independence

  • Conflicts of Interest

  • Audit Quality or Risk Management

• Strong technical grounding in regulatory requirements including:

  • Application of the IRBA Code of Professional Conduct

  • Audit independence standards

• 3 to 7 years of professional experience.

• Demonstrated ability to:

  • Operate independently

  • Take full ownership of technical matters

  • Engage confidently and assertively with senior stakeholders including Partners and Directors

Nice-to-Haves (Beneficial)

• Relevant post-graduate qualification such as CA(SA) or CIA.

• Experience designing or implementing process automation solutions within a compliance function.

Behavioural Requirements

• Exceptional communication skills.

• Proactive problem-solving mindset.

• A genuine desire to improve and enhance existing systems rather than simply maintain them.