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Audit Manager/Senior Manager - Financial Services

Employer
Smith & Williamson
Location
London, UK
Salary
Competitive
Closing date
Sep 17, 2019

View more

Job Role
Auditor
Sector
Finance
Contract Type
Permanent
Hours
Full Time
Smith & Williamson For over a century, Smith & Williamson has provided tailored financial and professional services to private clients and their business interests. Today, the firm is one of the largest independently owned investment managers in the UK in addition to being the country's eighth largest accounting firm. Its 1,800 staff serve clients including individuals, families, entrepreneurs, charities, trustees, professional advisers and businesses from 12 offices in the UK, Ireland and Jersey. London Our London office, based in the City, provides leading edge advice to private clients, professional practices, mid to large corporates and non-profit organisations. From the London office we provide the full range of our services: audit, financial due diligence, valuations, business advisory services, banking, corporate finance, corporate recovery, corporate tax, forensic services and litigation support, investment management, pensions and financial planning and advice on personal tax and trusts. Financial Services Smith & Williamson has been providing audit, tax and advisory services to financial services firms for over 25 years. Our Financial Services & Markets Group consists of individuals from a number of disciplines throughout the firm including Audit, Corporate and Private Tax, VAT, Employee Remuneration, Pensions and Fund Administration. Our specialist financial services group offering includes:
• Experience drawn from over 250 financial services clients;
• Advice and resources from our dedicated sector group in operation for over 25 years; and
• Regular technical and sector updates. We work with more than 250 financial services businesses, including brokers, UK and overseas derivative and commodity traders, payment services firms, fund managers, UK and non UK funds, corporate finance boutiques, private equity managers and venture capitalists. We have a deep understanding of the sector obtained through years of working with our clients and also because half of our own business is in the financial sector. We have a significant fund management business (with £20 billion under management and advice) and a private bank. Our core team is based in London at 25 Moorgate with further representatives across the country and throughout the world through our international network, Nexia International. Assurance & Business Services We provide a range of services including external and internal audit, financial due diligence, valuations, management accounting and payroll services to a diverse client base ranging from small businesses and startups to substantial international groups. Our client portfolio includes businesses from a variety of different industry sectors, across both private and AIM listed companies. Financial Services The Financial Services Assurance and Business Services team provides audit and advisory services to a wide range of businesses within the financial services sector. These include external audit, Client Assets ('CASS') reporting to the Financial Conduct Authority, internal audit, regulatory advisory projects and accounting support. Job Description Purpose of role: Working within the financial services team to manage the audits, CASS reporting, controls assurance, regulatory consultancy assignments and client relationships of a portfolio of financial services sector clients; including fund managers, brokers, lending institutions, fintech organisations and corporate finance boutiques. You will ensure clients are provided with a high quality service, through the effective management of resources and liaison with relevant departments. Key

responsibilities:
Client work:
• Ensure that clients receive an efficient and proactive service and client expectations are exceeded. Identify issues and agree resolution with client Partner, ensuring they are up to date with the job's progress. Awareness of commercial aspects of clients' business and its impact on our work.
• Provide regulatory compliance advice to clients in respect of the FCA Handbook, in particular, IFPRU, GENPRU, CONC, BIPRU and CASS, including application of the FCA Rules and regulatory reporting.
• Be aware of developments in regulatory requirements and how these have an impact upon our clients. Staff Management:
• Organise staff on jobs, ensuring each individual is clear on expectations and timescales, is properly trained and receives constructive feedback. Ensure any shortages or excess workloads are identified and minimised.
• Ensure assessment forms are completed and feedback given to all staff on all jobs.
• Provide internal training in respect of the FCA Handbook to staff. Business Development:
• Prepare proposals for new work.
• Attend relevant marketing events.
• Present at financial services seminars.
• Attend financial services focus group meetings.
• Develop personal contacts.
• Identify and develop opportunities for S&W with current clients. Liaison with other departments:
• Ensure the department is providing the support

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