Assurance Manager, Quality Management - IS Assurance

Job Summary:

The Assurance Manager, Quality Management - IS Assurance is charged with designing, planning, executing, and overseeing walkthroughs, direct testing, and evaluation of IT risks and controls within the Firm's system of quality management. This role ensures that information systems and related controls are designed and operating effectively to support compliance with quality management standards for accounting firms. This role collaborates with process owners, manages offshore teams, and ensures proper execution by the team of the designed procedures related to direct testing, deficiency assessments, and remediation monitoring. The IS Assurance Manager also supervises and develops team members, ensuring high-quality delivery and adherence to professional standards.

Job Duties:

System of Quality Management Focus:

• Identifies and considers applicable policies, laws, rules, and regulations of the firm, regulators, or other authoritative bodies related to the Firm's system of quality management
• Demonstrates thought leadership and an inquisitive mind to bring value-added insights to analyses and solutions
• Plans and performs walkthroughs of IT processes and controls, including preparation, scheduling, and agenda development ensuring proper documentation of the Firm's IT processes and controls related to the system of quality management
• Identifies new or required enhancements to IT processes and controls through direct testing, discussions with process owners, and collaboration with Quality Management Inspection and Independence (QMIAI) and Professional Practice Group (PPG) team members
• Identifies, assesses, and documents IT risks impacting the system of quality management
• Designs, executes, and oversees testing of IT controls to evaluate design and operating effectiveness
• Reviews documentation provided ensuring completeness and accuracy of documentation within workpapers
• Liaises with System of Quality management ( SoQM ) team members and process owners to establish scope and strategy of work to be performed, and continuing team communications to work through complex issues and conclusions, including serving as first respondent to questions from offshore teams (e.g., BDO RISE) related to direct testing and assisting with follow-up with control owners
• Drafts instructions for offshore team tasks, and monitors task assignment and completion
• Reviews workpapers, including assessing the accuracy of the test result (finding) based on direct testing procedures performed
• Tracks findings identified through direct testing, and prepares communications to process owners that include details of the finding(s) and ways to improve processes, strengthen controls, mitigate risks, and/or increase efficiency
• Consolidates direct testing findings, assessing findings to identify deficiencies, and performing deficiency assessments, as needed
• Performs reconciliations to ensure system of quality management data consistency with root cause analyses and remediation actions
• Monitors status of remedial actions
• Assists with ad-hoc testing, annual regulatory data requests, and implementation efforts related to new quality control standards (e.g. QC 1000)
• Supports set-up and maintenance of the firm's quality control audit platform (e.g. Ideagen)
• Communicates with control owners related to areas to improve processes, strengthen controls and mitigate risks
• Assists with preparing various audit quality reporting to leadership and the practice
• Assists with PCAOB firm level inspection activities, including data requests and meeting support
• Provides on-the-job training, coaching, and supervision to less experienced team members
• Owns tracking of status, schedule, and budget
• Other duties as required

Professional Competence:

• Applies knowledge and understanding of professional standards; application of the principles contained in professional standards; and the ability to document and communicate an understanding and application of professional standards for the Firm's system of quality management by:
  
  
  
  • Applying knowledge of auditing theory, a sense of professional skepticism, and applicable guidance related to the Firm's system of quality management
  • Applying auditing standards and methodology
  • Identifying complex issues, including deviations, and working through complex situations collaboratively with the team and process owners
  • Applying knowledge to identify instances where testing may be reduced or expanded and providing counsel to the members of the quality management team
  • Preparing, reviewing, and communicating results of procedures to the quality management team and Firm leadership, ensuring timeliness and completeness
  
  

Methodology:

• Applies knowledge and application of BDO standards to guide effective and efficient delivery of quality work by:
  
  
  
  • Conducting general and detailed reviews to help ensure direct testing of the Firm's IT controls are completed in accordance with applicable methodology and standards
  • Recommending appropriate outcomes to critical issues
  • Planning the direct testing procedures and overseeing the execution of procedures with quality and efficiency
  
  

Supervisory Responsibilities:

• Provides supervision and review of junior team members and offshore team providing timely feedback, mentoring and coaching
• Establishes deadlines, and provides oversight to meet deadlines
• Reviews work prepared by the team, and provides review comments
• Provides on the job training and learning

Qualifications, Knowledge, Skills and Abilities:

Education:

• Bachelor's degree in Business Administration, Accounting, Computer Science, or Information Systems, required
• Master's degree in Information Systems, preferred

Experience:

• Five (5) or more years of IT audit and/or related risk and controls experience, required
• Experience performing general and application control reviews, required
• Experience with quality management systems in accounting firms, preferred
• Experience leading walkthrough meetings, integrated audits/control testing, and managing offshore teams, preferred
• Experience with project management, including monitoring control test plans and document request status, preferred
• Experience with performing review of and testing around third-party attestation (SOC) reports, preferred
• Experience working within a public accounting and internal auditing environment, preferred

License/Certifications:

• CPA, CISA, CISM, CRISC, CGEIT, CISSP and/or CFE certification, required

Software:

• Proficient in the use of Microsoft Office Suite, required
• Exposure to various industry ERP applications, preferred
• Experience with audit management software (e.g., Pentana, Ideagen Internal Audit), preferred

Language:

• N/A

Other Knowledge, Skills & Abilities:

• Understanding of risks, controls, automated application controls, key reports, and controls over completeness and accuracy of data
• Understanding of core business operations related to the System of Quality Management and Engagement Performance and the related risks
• Understanding of the flow of data related to the System of Quality Management and Engagement Performance and related controls over initiation, processing, recording, and reporting of data
• Excellent verbal and written communication skills
• Strong analytical and research skills
• Solid organizational skills, especially the ability to meet project deadlines with a focus on details
• Ability to successfully multi-task while working independently or within a group environment
• Ability to work in a deadline-driven environment and handle multiple projects simultaneously
• Ability to effectively manage a team of professionals and delegate work assignments as needed
• Ability to build and maintain strong relationships with Quality Management team members and internal stakeholders
• Ability to supervise, coach and contribute to the professional development of assigned personnel
• Executive presence and ability to act as primary contact on assigned engagements
• Ability to successfully interact with professionals at all levels
• Advanced knowledge of internal controls and risk assessment methodologies
• Ability to travel as necessary