RSM

Audit, advisory, and accounting services network

Independence Compliance Manager

Regulatory Compliance & EthicsConfirmed live in the last 24 hours

Full-timeNo salary listedIn-person

About the Job

Requirements

A bachelor's degree in accounting or another business degree is preferred.
Comprehending rules, regulations, policies, and procedures is required.
Awareness of independence rulesets, including Securities and Exchange Commission, Public Company Accounting Oversight Board, and American Institute of Certified Public Accountants rules, is required.
Communicating information clearly and concisely in writing to diverse audiences across the firm and to outside professional contacts is required.
Expert conflict resolution skills are required.
Proficient use of Microsoft Office products, including familiarity with SharePoint as a document repository, is required.
The ability to identify and recommend process improvements and efficiencies is required.
The ability to maintain confidentiality and discretion is required.
Eight or more years of experience in public accounting is required.
Exposure to independence considerations in professional practice is required.
Five or more years of experience coaching, leading, and monitoring a team in a highly standardized, process-driven environment is required.
Familiarity with an accounting firm's entity management system is required.
Organizational and prioritization skills are required.
The ability to adapt quickly to process changes is required.
The ability to proactively request and provide feedback is required.

Responsibilities

Manage and oversee the Independence Operations Team, including creating and reviewing process documents, training materials, and other resources to support the team's success and growth.
Assist the Operations team, Client Engagement teams, and other stakeholders in understanding independence affiliate rules.
Maintain entity management system relationships and data, conduct consultations with client servers, and review proposed system edits, especially during periods of high volume.
Identify opportunities for process improvements, and propose and implement improvements.
Provide performance reviews and career guidance to junior staff.
Manage team growth, including liaising with USI Human Resources to recruit and onboard new team members.
Coach and manage team members who process entity management system updates based on relevant auditor-independence rules, including intake, analysis, and final review before system updates.
Host phone and video calls with engagement teams to clarify updates.
Coach the Operations team and other stakeholders on independence affiliate rules.
Lead the creation and continuous improvement of processes to maximize the firm's system of quality controls and ensure timely, effective entity management system updates.
Monitor team activities, proactively identify and remediate challenges, and maintain team morale.
Facilitate technically complex discussions with stakeholders.
Provide status reporting and frequent check-ins with management.
Perform related tasks, including training and data cleansing, and other assigned duties.

Desired Qualifications

Awareness of interrelated policies, processes, and personnel is preferred.
The ability to develop and maintain applicable professional and internal contacts, resources, and networks is preferred.
Familiarity with an accounting firm's entity management system at a Big Four accounting firm is preferred.
Experience managing international teams is preferred.
Timely engagement of key stakeholders regarding important decisions, as appropriate, is preferred.

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 Office of Risk Management (“O.R.M”) supports the implementation of programs, policies, and practices to manage RSM US (or “Firm”) risk. The Independence Operations Manager 2 will assist with managing day to day risk to the firm regarding independence requirements of regulatory bodies, including the Securities Exchange Commission, Public Company Accounting Oversight Board, and the American Institute of Certified Public Accountants. The Manager 2 will coach and manage a team of individuals responsible for processing updates to the entity management system (“EMS”) based on the relevant auditor independence rules. This will involve managing those who perform the intake and analysis process of the relevant submissions and the final review process prior to system update, including hosting phone and video calls with engagement teams to clarify updates. As a subject matter expert on the independence affiliate rules, they will also coach the Operations team and other stakeholders on the affiliate rules. The candidate may also be involved in related tasks, including training, data cleansing, and other relevant duties. The Manager 2 will lead the creation and continuous improvement of processes designed to maximize the firm’s system of quality controls to ensure timely and effective updates to the EMS.

Essential Duties

Management and oversight of the Independence Operations Team, including creating and reviewing process documents, training materials, and other resources to assist the team’s success and growth
Assisting the Operations team, Client Engagement teams, and other stakeholders with understanding independence affiliate rules
Maintenance of EMS relationships and data, conducting consultations with client servers, and reviewing proposed edits to the EMS, especially in times of high volume
Identifying opportunities for, and proposing and implementing, process improvements
Providing performance reviews and career guidance to junior staff
Management of team’s growth, including liaising with USI Human Resources to recruit and onboard new team members
Other duties, as assigned

EDUCATION/CERTIFICATIONS

Bachelor’s degree in accounting (preferred) or other business degree

TECHNICAL/SOFT SKILLS

Comprehending rules, regulations, policies, and procedures (required)
Facilitating coaching of stakeholders of all levels on complex regulatory matters
Awareness of different independence rulesets, including SEC, PCAOB and AICPA (required)
Awareness of interrelated policies, processes, and personnel (preferred)
Communicating information clearly and concisely, in writing to diverse audiences across the firm and to outside professional contacts (required)
Demonstrating expert conflict resolution skills (required)
Proficient use of Microsoft Office products including familiarity with SharePoint as a document repository (required)
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)
Providing status reporting and frequent check-ins with management

EXPERIENCE

8+ years’ experience in public accounting (required)
Exposure to independence considerations in professional practice (required)
5+ years’ experience coaching, leading, and monitoring a team in a highly standardized, process-driven environment (required)
Familiarity with an accounting firm’s entity management system (required) preferably at a Big Four accounting firm (preferred)
Managing teams internationally (preferred)

LEADERSHIP SKILLS

Coaching and managing a team in a highly standardized environment.
Monitoring team activities and proactively identifying and remediating challenges.
Maintaining team morale
Organizational and prioritization skills (required)
Able to adapt quickly to changes in process (required)
Facilitating technically complex discussions with stakeholders
Proactively requesting and providing feedback (required)
Timely engaging key stakeholders regarding important decisions, as appropriate. (preferred)

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].

About the Company

RSM

Audit, advisory, and accounting services network

RSM is a global network of independent firms providing audit, tax, and advisory services. In France, the network has 14 offices, about 1,100 collaborators and 85 partners, organized to deliver tailored services for SMEs, mid-market companies, and large enterprises. It operates through methodologies that combine business-area expertise with sector specialization, strong involvement of partners, and high-level professionals building durable client relationships, all guided by human-centric values. Worldwide, RSM is present in more than 120 countries with 41,000 professionals and global revenue of about $5.4 billion, enabling support for clients in every development phase both in France and abroad.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: Not listed
Headquarters: London, United Kingdom
Founded: 1964

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