SEC Regulations Leader

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, 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 SEC Regulations Leader is primarily responsible for advising and providing technical expertise to engagement teams and members of the National Professional Standards Group (NPSG) on complex SEC reporting and compliance matters and for the development and maintenance of related reporting manuals, tools, templates, training and thought leadership for the Assurance line of business.

Quality  

• Responsible for the development and maintenance of the firm’s interpretive guidance related to SEC reporting and compliance matters, including association with registered and exempt security offerings. 
• Responsible for the curriculum design and oversight of nationally delivered training related to SEC reporting and compliance matters inclusive of exempt offerings. 
• Responsible for relevant sections of the firm’s manuals, ensuring they are current, accurate and complete with respect to SEC reporting and compliance matters, inclusive of exempt offerings. 
• Consults with engagement teams, members of the Professional Practice Office (PPO), and Technical Industry Leaders, as requested (or required by firm policy), on complex SEC reporting and compliance matters, exempt offerings and certain accounting matters.  
• Assists with the development and maintenance of the firm’s interpretive accounting guidance and educational training courses, which may require collaborating with other members of the NPSG, audit, tax and consulting practices, to enable others to address existing and new accounting standards, emerging practice issues and firm initiatives. 
• Monitors and reports on the standard-setting activities of the Financial Accounting Standards Board and International Accounting Standards Board within the individual’s areas of expertise including drafting of the firm’s comment letters in response to proposed accounting standards updates. 
• Collaborates among the NPSG, Office of Risk Management (ORM), and the National SEC Practice Leader to continuously improve National Office service to engagement teams and clients.  

Leadership 

• Leads development of thought leadership on matters related to SEC reporting and compliance matters, including the firm’s responses to SEC proposals. 
• Develops and maintains relationships with counterparts at other public accounting firms to engage on complex and emerging financial and SEC reporting matters. 
• Leads educational training courses on subject matters within the individual’s areas of expertise, including drafting the firm’s responses to proposed accounting standards updates, and participates in the firm’s quarterly accounting update webinars, as needed. 
• Serves as the firm’s representative on the Center for Audit Quality’s SEC Regulations Committee and possibly other related task forces (e.g., the AICPA’s International Practices Task Force, Smaller Firm Task Force). 
• Serves as the firm’s primary relationship manager with the SEC’s Division of Corporate Finance Chief Accountant.

Client Service  

• Consults with RSMI member firms in connection with questions related to exempt offerings, including related comfort letter requests.  

Risk Management  

• Provides support to the ORM as it relates to the client acceptance tools for SEC reporting and compliance matters inclusive of exempt offerings for non-issuers. 
• Assists engagement leaders with investigations, examinations, inquiries and comment letters with respect to SEC reporting and compliance matters as requested by the SEC PPO Leader. 
• Works closely with ORM on internal, PCAOB and other regulatory inspections, including assisting with written responses, as applicable, on matters concerning SEC Reporting and compliance matters. 
• Serves as a resource to the Office of General Counsel and Audit Incident Response as a firm expert on matters concerning SEC reporting and compliance matters. 

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Talent Experience  

• Fosters a positive and proactive work environment, emphasizing respect for individuals, high standards of quality, innovation and teamwork. 
• Facilitates the ongoing learning, well-being, professional satisfaction and development of staff through training, work assignments, increased responsibility/autonomy and mentoring. 

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Management

• Ability to effectively and substantively interact with regulators
• Sets the “tone at the top,” including leading and embracing change
• Must exhibit an exceptional client service attitude, possess outstanding people skills and take a proactive approach in working with employees
• Excellent verbal and written communication skills  
• Ability to communicate motivationally and deliver tough messages
• Demonstrated excellent coordination, organizational planning and analytical skills 
• Takes ownership of results 
• Ability to prioritize and manage multiple projects/assignments simultaneously 
• Viewed as expert in the firm and sought out by others regionally and nationally with respect to SEC rules and regulations  
• Displays executive presence in interactions with others (e.g., calming influence, confidence) 
• Demonstrates critical thinking and applies appropriate professional integrity, objectivity and skepticism 

Requirements

• Minimum bachelor’s degree in accounting required 
• Minimum 15 years’ experience in a National CPA Firm or with the SEC
• Active CPA license in the state of residence (or equivalent professional credential) required
• Extensive knowledge of SEC Regulations S-X and S-K, including securities registrations, exempt offerings, initial public offerings, confidential submissions, cyber requirements and disclosures, executive compensation disclosures and claw back requirements, comfort letter matters, Article 11 pro forma rules, and Financial Reporting Manual updates 
• Broad working knowledge of U.S. GAAP and US GAAS and PCAOB auditing standards 
• Experienced in developing and editing SEC reporting and accounting publications and educational training courses 
• Significant experience in two or more of the following areas of accounting: income taxes, leases, consolidation, derivatives and hedging, distinguishing liabilities from equity, financial assets (including transfers and servicing), fair value measurements, cryptocurrencies, business combinations, revenue recognition, segment reporting, earnings per share, foreign currency matters and statement of cash flows 

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Preferred Requirements

• Knowledgeable of IFRS (at a minimum the significant differences between IFRS and U.S. GAAP within the individual’s areas of expertise) 

At RSM, we offer a competitive benefits and compensation package for all our people. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

We believe flexibility and in-person connection both play an important role in how we work and grow. Most roles at RSM follow a hybrid workstyle, which means team members are aligned to an RSM office and come together in person when it best supports clients, teams, development or relationship-building. Some roles may be virtual or primarily on-site based on role requirements, team priorities and client needs.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; 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 US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. 

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 call us at 800-274-3978 or send us an email at [email protected].

RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.