Associate Director - Audit Technical Services - CASS

Farringdon Street – London; Leeds
Competitive salary + benefits
21 Mar 2023
21 Apr 2023
Approved employers
Approved employer
Contract type
Full time
Experience level

As one of the world’s largest networks of audit, tax and consulting firms, RSM delivers big ideas and premium service to help middle-market businesses thrive. We are a fast-growing firm with big ambitions – we have a clear goal to become the premium adviser to the middle market, globally. This vision touches everything we do, motivating and inspiring us to become better every day. If you are looking for a firm where you can build a future and make an impact, then RSM is the place for you.

Are you an experienced auditor in the financial services sector that enjoys the technical and regulatory aspects of the role?

Are you ambitious with a passion to excel and drive change whilst putting quality at the heart of everything you do?

If so, then this is the role for you.

We are looking for an individual to lead our financial services technical support offering that will join our well-established audit technical department comprised of sector specialists and experts in accounting and auditing that provide an offering of technical support services to RSM’s audit and financial advisory services business lines.

The Department

National Audit Technical Services (NATS) is responsible for maintaining the technical quality of the audit firm's operational procedures and guidance. It does this by producing the Audit Manual, maintaining the firm’s computerised audit software, as well as monitoring the technical quality of technical training courses and assisting in the provision of such courses on an ad-hoc basis. Technical content for marketing material is also reviewed and when requested, developed.

The Clients

RSM provides audit engagement services to over 250 Financial Services entities focussed primarily on Asset and Wealth Management, Capital Markets and Proprietary traders. We also act for insurance brokers, payments providers, fintech businesses, Private Equity firms and a small number of platform providers.


The role will require you to communicate with a wide range of individuals within NATS, the audit business and other departments such as Accounting and Financial Reporting, Learning & Development, Valuations and Risk & Advisory Services.

Other aspects of your role may include, amongst other things:

  • Establishing strategy and objectives regarding the provision of technical support services to the financial services audit sector
  • Maintaining the firm’s operational policies, procedures and guidance specific to the financial services audit sector
  • Keeping up to date with changes and proposed changes in regulations and assessing the implications for the firm’s operational policies and procedures
  • Identifying changes to procedures and guidance, developing relevant action plans and taking responsibility for the implementation of those plans
  • Overseeing the engagement quality control process and monitoring rotational requirements in line with ethical standard and firm procedures
  • Allocating and performing engagement quality control reviews
  • Collaborating with the sector head and other sector specialists within the firm to share and utilise knowledge and thought leadership
  • Developing and delivering sector specific training plans
  • Developing thought leadership articles
  • Reviewing modified audit / assurance opinions
  • Providing ad-hoc technical support to audit engagement teams
  • Assisting engagement teams with tenders and proposals
  • Proposing and reviewing internal technical communications
  • Providing comments and views in response to regulatory consultations
  • Accountable to the National Audit Technical leadership team

Personal and professional qualities

  • ACA/ACCA qualified – or equivalent
  • Understanding of relevant CASS and supporting SUP regulations and the requirements of the FRC CASS Assurance standard and FCA literature. Recent experience of delivering and managing CASS Reporting engagements would be beneficial
  • Understanding of FCA regulations relevant to investment business, debt management business, consumer credit business and insurance brokers
  • In-depth understanding of ISA requirements
  • Understanding of how technology can be used on sector specific engagements
  • Good knowledge of UK GAAP and IFRS

Personal Competencies

  • Excellent interpersonal skills
  • Team player
  • Strong project management skills
  • Ability to lead teams and projects
  • Excellent communication and presentation skills

Diversity and Inclusion at RSM

At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client’s needs. Diverse teams bring a broader range of ideas and insights to work. That’s why we’re working together to ensure our firm’s principles and processes support a firm culture that embraces difference and strengthens inclusion.

At RSM we work hard to create an environment where our people can make a difference - to themselves, their career, their teams, and to the success of our firm and clients. We support all our people to work flexibly, to manage their family and other responsibilities alongside their work commitments; we believe this is key to achieving an inspiring and fulfilling working environment.

For further information, and to apply, please visit our website via the “Apply” button below.

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