Audit Director, Financial Services (CASS 6/7)

Job Title: Audit Director, Financial Services (CASS 6/7)
Contract Type: Permanent
Location: London
Reference: FS-ADCASS
Contact Name: Human Resources
Contact Email:
Job Published: November 27, 2019 16:06

Job Description

Financial Services Division

PKF Littlejohn is ranked among the top 6 advisers to the UK insurance sector.

Led by eight partners, our Financial Services division is one of the largest teams outside the Big 4.

We currently provide a variety of services to asset managers, private equity funds, corporate finance firms, and other FCA authorised businesses however this is at a smaller scale than our insurance business. We want to grow our wider funds business to have the same reputation and standing as our insurance businesses.


What skills will you need to be effective in this role?


Main Duties

• To become recognised as being an industry expert in CASS 6 & 7 audit and advisory work

• To be part of the core funds team that will create a recognised centre of excellence for the investment management industry in audit and advisory work;

• To work with the other members of the core funds team and to build and implement a growth strategy

• Win new business through excellent management of existing clients, but also by identifying new business opportunities both in audit and advisory work;

• To help enhance our firms CASS 6 & 7 audit approach and methodology

• To take charge of the planning, on-site running and completion, including signoff of the audit opinions of a portfolio of assignments; and

• Be passionate about a career within the Funds industry.

Client Responsibilities

You will manage an allocated client portfolio, this will involve:

• Efficiently managing your time to ensure your client portfolio is properly serviced and work is completed in a timely manner;

• Identifying business opportunities from existing clients and supporting initiatives to develop new business opportunities;

• Managing all stages of the audit and signing off audit and client money opinions (with RI status)

• Anticipating significant accounting issues based on experience and knowledge of other companies; being proactive in recommending solutions to these issues;

• Advising clients on all financial reporting issues with reference to other specialists where necessary;

• Advising clients on client asset compliance issues

• Managing audit teams and reviewing their work;

• Responsibility for on the job training as required; and

• Ensure compliance with internal (methodology and risk management) and external (regulatory) requirements.

Project Work/Special Work

In addition to managing a portfolio of CASS audit clients, you may also deal with advisory work Example projects have included:

• S166 reviews

• Supporting CASS 6 / 7 outsourced compliance reviews / internal audit

• CASS 6 / 7 advisory / consulting

Administrative Responsibilities

You will assist with the running of the Funds team with the support of the other senior members of the FS Division. This will involve the following:

• Building and implementing a plan to grow the team;

• Working alongside other teams e.g. family office and marketing teams to promote the firm;

• Active involvement in the development of staff;

• Delivering relevant funds training to the team;

• Contributing to staff briefing meetings;

• Assisting in the motivation of staff;

• Staff recruitment – conducting second interviews with another manager or partner


Person Specification

Qualifications and Experience

• ACA/ACCA qualified;

• Proven auditing skills in the Funds Sector is essential;

• RI status or able to demonstrate RI status can be achieved in a short timescale is essential;

• Strong IT skills, particularly Excel;

• Proven technical skills, leadership skills and ability to communicate effectively; and

• Proven engagement managerial skills.