THE FOCUS IS YOU

Join a dynamic, high-energy team dedicated to achieving excellence in audit quality! If you’re looking to grow your career in a public accounting atmosphere while taking on impactful responsibilities and projects with our National Office team, without the demanding busy season hours, this is the perfect role for you. Our team values flexibility, offering remote or hybrid work options, and prioritizes work-life balance to create a supportive and rewarding environment.

The National Office Senior Manager of PCAOB Initiatives is a core member of the firm’s National Office responsible for assisting with the overall administration, direction, and monitoring of the firm’s attest practice and system of quality management for all aspects of the firm’s PCAOB attest practice.

Key duties involve assessing the firm’s system of Quality Management by assuming administrative responsibilities for risk assessment, oversight of testing, and accumulation of results and managing UHY LLP’s interactions with the PCAOB. Other responsibilities include managing interactions with other regulatory authorities, assisting with all internal and external inspections, providing professional guidance to the practice, and enhancing data analytics and reporting. 

As an essential member of the National Office team, the National Office Senior Manager of PCAOB Initiatives 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.

WHAT YOU WILL DO

Regular duties include (but are not limited to):

PCAOB and SEC Matters

• 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:

• 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.

Annual Reporting of Data to the PCAOB (Form 2)

• Review and lead the assembly of PCAOB Form 2 (Annual Report), consisting of listing all UHY opinions, consents, and other attest reports issued during reporting period, the number of accountants, licensed CPAs, and professionals, and fee revenue data for SEC engagements.

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

Quality Management

• 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.

Peer Review, DOL, and Internal Inspections   

AICPA Peer Review

• 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.

DOL Inspections

• 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.

Internal Inspections

• 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.

Independence Matters

• 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.

Quality Management Policy Updates

• 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.

External Quality Centers, Vendors, Professional Standard Setters, and Publications

• 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.

Supervisory responsibilities

• Will supervise subordinate team members

Work environment

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

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 to 15 pounds at a time

WHAT WE ARE LOOKING FOR

Required education and experience

• 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 education and experience

• Former PCAOB inspector preferred, but not required
• Experience with SEC Rules and SEC Independence standards is beneficial

Travel

• Travel of 5% to 10% is required for attendance at conferences, attendance and/or facilitation of in-person training, National Office Team Meetings, and the firm’s annual National Leadership Conference.

Other duties

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the colleague for this job. Duties, responsibilities and activities may change at any time with or without notice.

WHO WE ARE

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. We are trailblazers who bring our experience from working within numerous industries to our clients so that we can provide them with a 360-degree view of their businesses. Together with our clients, UHY works collaboratively to develop flexible, innovative solutions that meet our clients’ business challenges. As an independent member of UHY International, we are proud to be a part of a top 20 international network of independent accounting and consulting firms.

WHAT WE OFFER

POSITIVE WORK ENVIRONMENT

Enjoy a collaborative and supportive work environment where teamwork is valued.

ATTRACTIVE COMPENSATION PACKAGES

Our compensation is competitive and tailored to reflect the role, qualifications, and expertise of each individual.

COMPREHENSIVE BENEFIT PACKAGE

Access comprehensive benefits including group health insurance, dental and vision coverage, 401(k) retirement plans, and generous paid time off (PTO) allowances.

DIVERSITY, EQUITY & INCLUSION

We are committed to furthering our DE&I journey through building a diverse professional community based on equitable treatment for all and a collaborative culture that values inclusion.