JOB SUMMARY
As the Conflict Checks Manager, you will play a critical role in protecting the integrity of our client acceptance and engagement processes. You will oversee the day-to-day operation of the firm’s conflict checking and entity independence verification processes, helping engagement teams navigate independence and ethics risks by reviewing, clearing, and escalating conflicts identified by firm’s conflict checking system.
The team is collaborative, high-performing, and responsible for upholding the firm’s highest standards of independence and professional ethics.
This role reports to the Independence and Ethics Compliance Leader of the UHY LLP National Office, ensuring alignment with the firm’s ethical and regulatory obligations.
JOB DESCRIPTION
Conflicts & Independence Responsibilities
Manage the daily conflict check process by reviewing flagged conflicts, researching client relationships, and assisting teams in assessing independence risks prior to client acceptance
Evaluate conflict check submissions from engagement teams, resolving issues when possible and escalating complex matters to the Independence and Ethics Compliance Leader or Independence Committee as appropriate
Provide comprehensive support during the investment audit process, including tracking auditee selections, conducting initial evaluations of findings, and escalating significant issues for further review
Monitor independence-related developments from regulatory bodies (such as AICPA, PCAOB, SEC, DOL, and GAO) and assess their impact on firm policies and processes
Maintain and enhance conflict monitoring tools and systems (e.g., Intapp, Entity-tree management), ensuring accurate setup and effective integration across platforms
Respond to independence and ethics-related inquiries from UHY engagement teams and international network firms, conducting initial analysis and providing preliminary guidance
Support the development and improvement of firm training on conflict checks and independence, offering feedback based on practical conflict resolution experience.
Conduct thorough conflict checks for professional services engagements, leveraging prior experience to ensure compliance and accuracy
Collaboration and Monitoring of Quality Control with Leadership
Actively contribute to the firm’s system of quality management by participating in bimonthly UHY LLP Management Committee meetings, where you help shape, update, and communicate firm-wide policies
Understand the quality management standards as well as our firm’s current system of quality management to develop processes, controls, and monitoring to assure compliance relevant to independence and ethics
Partner with colleagues in the UHY LLP National Office to thoroughly review and enhance the firm’s system of quality management as it pertains to independence and ethics, ensuring that best practices are consistently understood and applied
Assist with the review and performance of conflict-checks over documentation of processes and controls, including the design of effective monitoring controls to monitor the firm’s system of quality management
Maintain professional relationships with independence personnel in the UHY international network firms, ensuring consistency and responsiveness across firm engagements
Supervisory responsibilities
Supervisory or team leadership experience vise staff and other resources, as appropriate, during projects and other initiatives
Work environment
Work can be conducted remotely or in a professional office environment with minimal distractions
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 up to 15 pounds at a time
Travel required
Travel of 5% to 10% is required for attendance at conferences, attendance, and/or facilitation of in-person training and National Office Team Meetings.
Required education and experience
Bachelor's degree in accounting, business, or related…