Regulatory Advisory Manager

About the Ethics & Independence Function:

The Ethics & Independence (E&I) team plays a pivotal role in safeguarding the firm’s reputation and regulatory compliance by proactively managing internal risks related to client acceptance, engagement continuance, and conflict of interest assessments. The team ensures the firm’s adherence to internal policies and global independence standards applicable to both audit and non-audit services.

The opportunity

As a Manager – Ethics & Independence, you will take a role in ensuring compliance with the firm’s independence and conflict management policies. This role demands advanced subject matter expertise in ethics, regulatory compliance, and risk mitigation frameworks, along with the ability to lead a high-performing team. The Manager will drive strategic initiatives, lead cross-functional collaboration, guide senior stakeholders on high-risk ethical matters, and contribute significantly to policy evolution and implementation.

Key Responsibilities

Strategic Policy Oversight

• Interpret, implement, and enhance the firm’s Ethics & Independence framework in alignment with global and local regulatory standards (including ICAI, SEBI, RBI, and BDO International policies).
• Catalyse firm-wide initiatives to improve conflict check processes, develop policies, and implement monitoring controls.

Advisory

• Serve as the advisor to client-facing teams on complex independence matters and conflict resolution.
• Deliver expert opinions to Partners and leadership on grey areas involving public interest entities, restricted services, and emerging compliance scenarios.
• Collaborate with BDO Global on independence protocols and global compliance initiatives.

Conflict & Risk Management

• Supervise end-to-end conflict checks and independence clearance processes for large-scale, complex engagements.
• Lead the escalation and resolution of high-risk ethical scenarios involving multi-jurisdictional client relationships.

Governance & Quality Assurance

• Monitor quality and timeliness of deliverables, including conflict reports and independence memos, ensuring accuracy and regulatory compliance.
• Conduct periodic internal reviews and audits to assess adherence to ethics frameworks.

Technology & Data Management

• Oversee firm-wide utilization of conflict management tools and independence databases.
• Drive automation and digitization initiatives to improve data quality, report generation, and workflow efficiency.

Stakeholder Engagement

• Act as a liaison between the E&I team and senior leadership, legal, risk, and engagement teams.
• Present periodic updates and dashboards to management on risk exposure, conflict trends, and resolution strategies.

Team Management

• Lead, mentor, and develop a team of Assistant Managers, Seniors, and Associates.
• Build a learning culture and upskill the team on evolving regulatory and ethical developments.

Training & Communication

• Design and conduct training sessions for client teams, leadership, and new joiners.
• Communicate policy changes and best practices firm-wide through structured communication strategies.

Required Qualifications & Skills

• Chartered Accountant, Postgraduate degree (MBA in Finance, Risk, Law, or related discipline) from a reputed institution.
• 8–12 years of experience in Ethics & Independence, Risk, Compliance, or Regulatory Advisory roles.
• Relevant certifications in Risk, Compliance, or Ethics (e.g., ICAI, ACCA, Certified Compliance Professional) are a plus.
• Prior experience in a Big 4 preferred.
• Technical & Analytical Skills - Deep understanding of auditor independence requirements (e.g., ICAI Code of Ethics, BDO Global Independence Manual, IESBA Code).
• Expertise in conflict management systems, and independence monitoring tools.
• Strong Excel and data analytics skills; experience with workflow automation tools is a plus.
• Proven ability to influence senior stakeholders and drive firm-wide initiatives.