Independence Compliance Manager 1

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.

The National Office of Risk Management (NORM) supports the implementation of programs, policies, and practices to manage RSM US risk. The Independence Compliance Manager assists with mitigating risk to the firm and its personnel regarding independence requirements of regulatory bodies including the Securities Exchange Commission, Public Accounting Oversight Board and American Institute of Certified Public Accountants. The position collaborates frequently with the RSM International Global Executive Office with respect to managing the US firm’s compliance with RSM International global independence policies.

Essential Duties

• Day-to-day responsibility for the management of the processes to ensure the completeness and accuracy of information within RSM’s personal independence compliance system and related projects
• Performance and oversight of the processes regarding the completeness, timeliness and accuracy of the firm’s personal independence tracking system, restricted securities lists and annual independence compliance surveys.
• Performance and management of personal independence assessments.
• Assist with the management of the independence monitoring processes related to partner/employee personal independence compliance
• Assist with the supervision of personal independence compliance staff

EDUCATION/CERTIFICATIONS

• Bachelor’s degree (required)
• Master’s degree (preferred)

TECHNICAL/SOFT SKILLS

• Ability to read and apply rules, regulations, policies and procedures – required
• Ability to interpret and apply organizational policy
• Knowledge of SEC, PCAOB, IESBA and AICPA Independence rules and ability to recognize the potential impact of changes to firm policies, processes and personnel (preferred)
• Ability to communicate information clearly and concisely, in writing and orally to diverse audiences across the firm and to outside professional contacts (required)
• Excellent conflict resolution skills (required)
• Proficient in Microsoft office suite & SharePoint (required)
• Demonstrated ability to identify and recommend process improvement and efficiency (required)
• Ability to develop and maintain applicable professional and internal contacts, resources and networks (preferred)
• Ability to maintain confidentiality and discretion (required)

EXPERIENCE

• 7+ years’ experience (required)
• Public Accounting, Professional services firm experience (preferred)

LEADERSHIP SKILLS

• Demonstration of an understanding of the impact of regulatory controls on business conditions (required)
• Seeks to add value. Seeks information from supervisor for guidance on consultative approach (required)
• Collaborates with all levels to achieve results (required)
• Strong organizational and prioritization skills (required)
• Able to adapt quickly to changes in regulatory environment, industry and the firm (required)
• Ability to respond positively to changing circumstances, seek and implement change to drive business improvement (required)
• Ability to work independently and oversee a team (required)
• Knows when to escalate issues (required)

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/india.html.  

RSM does not tolerate discrimination and/or harassment based on race; colour; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender (including gender identity and/or gender expression); sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the Indian Armed Forces; Indian Armed Forces Veterans, and Indian Armed Forces Personnel status; pre-disposing genetic characteristics or any other characteristic protected under applicable provincial employment legislation.  

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please send us an email at [email protected].