Senior - National Office

Position Summary

Join a fast-paced, challenging, and collaborative team dedicated to audit quality!

Due to the rapid growth in our SEC practice and our focus on implementing the newly issued quality management standards, we are expanding the National Office team to include a Senior responsible for assisting with the overall administration, direction, and monitoring of the firm’s attest practice and system of quality control.

If you are looking for a culture of high performance and access to opportunities to do your best work, we would like to hear from you!

Responsibilities include assisting with UHY LLP’s interactions with regulatory authorities, assisting with all internal and external inspections, providing professional guidance to the practice, and performing data analysis and reporting.

This position works directly with the UHY LLP Managing Partner, National Director of SEC and PCAOB Matters, and the UHY LLP Management Committee.

WHAT YOU WILL DO

Monitoring of Quality Control with Leadership

Prepare for and participate in UHY LLP Leadership Committee Meetings, which include the bi-weekly UHY LLP Management Committee (Management Committee) meetings and monthly Attest Leader meetings, including preparing meeting agendas, preparing recurring data for review.

Peer Review and Internal Inspections

Assist with 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.

Assist with the National Internal Inspections program by being responsible for coordinating the inspections, monitoring the status of inspections, providing training to Regional Inspection Team Leaders, and making arrangements for inspection team visits, when needed.

Gather inspection results and prepare annual internal inspection report to present to the Management Committee and partners.

PCAOB and SEC Matters

Responsible for the following critical items for monitoring PCAOB and SEC matters :

• Perform data analysis and producing updated SEC and Restricted client lists by monitoring changes in SEC client base and querying client filings in EDGAR
• Preparing materials requested by the PCAOB staff prior to the triennial PCAOB Inspections, ensuring that PCAOB staff has access to all the materials and engagement team members, and working with engagement teams to prepare responses to tentative findings and ensure all required materials are provided to the PCAOB staff
• Prepare initial drafts of data required for PCAOB Form 2 (Annual Report), including data about UHY professionals, reports and consents issued, and fee data and analysis
• Oversee appropriate flow of SEC client acceptances and continuance packages, and maintain annual SEC client continuance and completion logs
• Department of Labor Inspections

Responsible for assisting with the preparation, collection, and summarization of information requested by the . Department of Labor as part of its intermittent employee benefit plan audit inspections.

During the inspection, assist engagement team members with reviewer questions, research professional standards as necessary to draft responses, and submit responses to reviewers.

Assist with training and practice alerts to address any findings from the final inspection report and monitor any ongoing remediation.

Independence Matters

Responsible for the following critical items for monitoring Independence Matters :

Monitor changes in independence requirements established by the AICPA, SEC, PCAOB, DOL, and GAO and prepare appropriate draft policy revisions for review by the Senior Independence Team.

Update all related engagement templates and independence reporting forms.

• Maintain independence lists for internal distribution and for UHY LLP 401k investment monitoring
• Manage survey process for the following :
• SEC and DOL (with a public company plan sponsor) client acceptance and continuance
• Annual partner / principal representations
• Annual independence affirmations

Quality Control Reporting and Other Accounting and Auditing Matters

Responsible for the following practice monitoring items :

• Update, as needed, to the UHY LLP Quality Control Handbook and other policies based on changes required by the AICPA and other regulatory bodies, or to address findings in internal and external inspections
• Oversee electronic Report Release database
• Update quarterly Restatement Logs and Client Rejection Logs
• Update Committee Lists and Independence Checking Lists
• Assist in preparing materials requested by underwriters regarding the firm’s audit and attest clients for the firm’s annual insurance renewal

AICPA Quality Center compliance and coordination with UHY International

• Monitor firm compliance with AICPA Quality Centers and respond to center information requests
• Respond to reports and surveys requested by UHY International

WHAT WE ARE LOOKING FOR

A qualified candidate should possess the following knowledge, skills, and abilities :

• A minimum of 3 to 6 years of public accounting experience and an active CPA license.
• Excellent Excel and data analysis skills
• Excellent organizational, writing, and training skills.
• Ability to work independently and collaborate on projects with other National Office personnel
• Knowledge of financial reporting, ethics, accounting & review standards of the FASB, AICPA, and PCAOB. Familiarity with GASB standards is helpful.
• Experience with audits performed under PCAOB standards
• Knowledge and understanding of internal control design and implementation
• Familiarity with DOL and GAO regulations is helpful
• Ability to work with regulators and inspectors during routine exams, including preparation for exams, interacting with regulators during exams, and updating leadership on status through completion
• Ability to work with internal and external counsel on professional liability matters
• Undergraduate degree in Accounting or equivalent
• Minimum of 40 hours of Continuing Professional Education earned annually over the last three years, including state licensing required hours for Audit & Accounting and Ethics

WHAT WE OFFER

• Great Culture Family-like culture of a small office with the benefits of a large firm
• Competitive Compensation Based on the role, credentials, and experience
• Comprehensive Benefits We offer group health insurance, dental, vision, 401K, PTO, etc.

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