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Company

UHY LLP, Certified Public Accountants · 1 day ago

Senior Manager of PCAOB Initiatives - National Office

United States

Full-time

Remote

Senior Level

7+ years exp

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Responsibilities

Oversee the monitoring of the firm’s SEC practice, including in-flight reviews, post-issuance inspections, and other practice monitoring efforts throughout the year.

Oversee appropriate flow of SEC client acceptance and continuance, including ensuring circulation of acceptance and continuance packages and maintaining annual SEC client continuance log.

Monitoring of the firm’s issuer count to evaluate when the firm will trigger annual inspection by the PCAOB by issuing over 100 issuer opinions in a calendar year.

Responsible for data analysis and reviewing 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.

Manage PCAOB Inspections by gathering materials requested by the PCAOB staff prior to inspections and ensuring that PCAOB staff has access to all the materials and engagement team members.

Manage inspection fieldwork meetings and communications between the PCAOB and with selected audit engagement teams, including review and preparation of responses to questions and ensuring efficient communication and coordination with the PCAOB during inspection fieldwork.

Working with engagement teams to prepare responses to PCAOB comment forms, discussing responses and other matters with the PCAOB, and manage any necessary remediation until PCAOB acceptance.

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 discuss changes in professional standards, regulatory requirements, and/or accounting updates.

Understand the Quality Control Standards as well as our firm’s current system of Quality Management to design, implement, and operate procedures to ensure compliance with the Quality Management Standards of the PCAOB, IIASB, and AICPA.

Work with other National Office colleagues to operate and/or 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.

Lead the preparation, coordination, evaluation of results, and remediation associated with the firm’s triennial Peer Review. During the review, assist engagement team members with reviewer questions, research professional standards as necessary to draft responses, and submit responses to reviewers. After completing Peer Review, assist with training and practice alerts to address findings from the review and monitor ongoing remediation of any findings.

Responsible for preparing, collecting, and summarizing nearly all the information requested by the U.S. Department of Labor. Includes collecting/creating logs for all reports, ensuring materials are available to reviewers, transmitting review questions to engagement teams, gathering information on surprise picks, monitoring engagement team progress on reviewer questions, and attending closing meetings.

Manage the firm’s annual internal inspections process by developing a list of engagements eligible for selection, performing risk assessment and working with Regional Inspection Team Leaders to make internal inspection engagement selections.

Responsible for coordinating the inspections, monitoring the status of inspections, providing training to Regional Inspection Team Leaders, and making arrangements for inspection team visits, if and when needed. Gather inspection results and prepare annual internal inspection report to present to the UHY LLP Management Committee and partners.

Monitoring independence developments from the AICPA, SEC, PCAOB, DOL, and GAO throughout the year and prepare appropriate draft policy revisions for any materials they believe need to be updated.

Prepare and document firm-wide independence checks for new SEC and DOL clients (with a public company plan sponsor). Oversee reporting of new, non-SEC clients within regions.

Ensuring timely updates are made to the UHY LLP Quality Management Policy by monitoring firm policy changes, AICPA guidance, and/or other regulatory body updates for potential changes to ensure the Quality Management Policy remains updated and consistent with professional standards.

Maintain relationship with Audit Analytics (private PCAOB and SEC monitoring database) and distribute their research reports, as applicable, to UHY LLP Management Committee members and appropriate UHY professionals.

Will supervise subordinate team members.

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 to 15 pounds at a time.

Qualification

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Certified Public Accountant (CPA)PCAOB audit experienceFinancial reporting knowledgeAICPA standards knowledgeQuality Management StandardsSEC Rules knowledgeDOL regulations knowledgeGAO standards knowledgeData analysisRisk assessmentPeer Review experienceIndependence checks

Required

Bachelor's degree in accounting, finance, or a related field

Active Certified Public Accountant (CPA) license

Compliance with all CPE licensing requirements

Minimum of 5+ years of PCAOB audit or advisory experience

Minimum of 7 – 8+ years of progressive audit or advisory experience in a medium-to-large public accounting firm

Excellent knowledge of financial reporting, ethics, accounting & review standards of the FASB, AICPA, and PCAOB as well as knowledge of SEC, DOL, and GAO rules, regulations, and standards

Preferred

Former PCAOB inspector preferred, but not required

Experience with SEC Rules and SEC Independence standards is beneficial

Benefits

Group health insurance

Dental and vision coverage

401(k) retirement plans

Generous paid time off (PTO) allowances

Company

UHY LLP, Certified Public Accountants

UHY is one of the nation’s largest professional services firms providing audit, tax, consulting and advisory services to clients primarily in the dynamic middle market.

Founded in 2000

Albany, New York, USA

1001-5000 employees

https://uhy-us.com/

H1B Sponsorship

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