THE FOCUS IS YOU

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 Officer 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 Officer 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.

WHAT YOU WILL DO

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 changes, AICPA, SEC, and PCAOB guidance, and/or other regulatory body updates for potential changes to ensure the Quality Management Policy remains updated and consistent with professional standards.

Legal, Licensing and Compliance Matters

• Assist the Office of General Counsel and External Legal Counsel, if applicable, in assessing legal, licensing, and compliance matters pertaining to UHY LLP, including remediation of disciplinary actions or other legal actions taken by regulators and/or responses to state regulatory authorities.
• Review and monitor the follow-up process for hotline reports, ensuring thorough and fair investigations.
• Work with the Office of General Counsel to review contracts and agreements prior to execution and use by 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 10 years of experience overseeing independence compliance, including identifying, assessing, and mitigating independence risks within a medium to large public accounting firm. This experience should encompass working with firm policies, regulatory requirements, and best practices related to maintaining auditor independence, as well as engaging in consultations and providing guidance on independence matters to ensure compliance with professional standards
• Experience with the implementation and ongoing maintenance of quality such as SQMS No. 1, ISQM1 and QC 1000
• Excellent knowledge of Independence rules and Standards for the AICPA, PCAOB, SEC, DOL, and GAO. Familiarity with GASB standards is helpful
• Experience with Salesforce, InTapp and Deltek Maconomy preferred

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.