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RSM

Audit, advisory, and accounting services network

Independence Senior Associate

Regulatory Compliance & EthicsPosted on Nov 11
Full-time$77.7k - $128.2k

About the Job

Requirements

  • A bachelor's degree is required; a degree in accounting, finance, business, or a related field is preferred.
  • Developing knowledge of AICPA, SEC, and PCAOB independence requirements, with the ability to research and apply professional standards, regulatory requirements, and Firm policies.
  • Strong analytical, organizational, documentation, and follow-through skills.
  • Ability to identify potential independence issues and escalate appropriately.
  • Strong written and verbal communication skills.
  • Ability to effectively manage multiple priorities and deadlines.
  • Ability to collaborate effectively across teams.
  • Ability to maintain confidentiality and professional discretion.
  • Proficiency in Microsoft Excel, Word, and PowerPoint.
  • Ability to effectively use approved emerging technologies, including Microsoft Copilot.
  • At least 3 years of relevant public accounting, independence, risk, audit, compliance, or professional services experience.
  • Experience researching and applying professional standards, regulatory requirements, or Firm policies.
  • Experience managing multiple assignments, deadlines, and stakeholders.
  • Business awareness to understand the impact of regulatory and independence requirements on business and client relationships.
  • Customer focus to anticipate stakeholder needs and provide timely, collaborative support.
  • Learning agility to build technical knowledge and judgment, apply feedback, adapt to change, and demonstrate readiness for a broader view.

Responsibilities

  • Research and apply AICPA, SEC, PCAOB, and Firm independence requirements to assigned matters; gather and document relevant facts; assess the applicable independence framework; prepare analyses and preliminary conclusions; and identify SEC applicability, potential impairment indicators, incomplete or conflicting facts, and matters requiring escalation.
  • Escalate unclear rules, material exceptions, unresolved facts, or matters outside assigned authority, and confirm assigned technical actions and workpaper updates are complete.
  • Perform initial triage of incoming requests under Independence management direction and, after demonstrating proficiency, perform assigned initial technical reviews of established AICPA matters.
  • Support Independence Managers and engagement teams serving private equity and other clients with complex organizational structures.
  • Assist in evaluating independence implications involving funds, portfolio companies, ownership and control relationships, affiliates, covered persons, service arrangements, acquisitions, prospective services, and capital markets activity.
  • Gather facts, coordinate routine information requests, prepare status updates, draft technical communications for approval, communicate through approved channels, avoid presenting preliminary observations as final conclusions, and support implementation and follow-through of approved conclusions.
  • Assist with AICPA, SEC, annual, and engagement-specific independence search processes and transaction monitoring; review and organize search results; investigate identified relationships; coordinate with stakeholders to obtain missing information or resolve open matters; and prepare documentation supporting analyses and preliminary conclusions.
  • Escalate potential impairments, SEC considerations, unusual relationships, and significant unresolved exceptions.
  • Assist with complex affiliate analyses and maintenance of affiliate trees and entity records by gathering and evaluating organizational charts, stakeholder documentation, public resources, and approved Firm systems; preparing proposed updates; and assessing potential technical implications of data changes.
  • Prepare organized, traceable workpapers identifying sources, research, procedures, exceptions, analyses, and preliminary conclusions.
  • Support reconciliations involving Form ADV, Alteryx, InTrust, master affiliate templates, and other approved sources and tools.
  • Manage assigned matters, deadlines, fact requests, open items, workpapers, and status reporting through complete handoff for review; maintain organized and traceable supporting evidence; respond to review comments; coordinate with US and India team members; communicate delivery risks and missing information to the accountable Manager; and ensure assigned actions and system updates are complete.
  • Assist with developing and delivering independence training, tools, templates, procedures, and guidance.
  • Provide task-level guidance after demonstrating proficiency, share lessons learned, and participate in testing and evaluating approved process, technology, automation, and documentation improvements.
  • Use approved tools for authorized purposes, independently validate outputs against source data, retain supporting evidence, document exceptions, and escalate inconsistent results.
  • Perform other National Office of Ethics and Independence or Office of Risk Management projects and duties as assigned.

Desired Qualifications

  • Experience applying AICPA or SEC independence requirements.
  • Experience with private equity structures, including funds, portfolio companies, ownership, and affiliates.
  • Exposure to independence searches, consultations, affiliate analyses, capital markets, or complex organizational structures.
  • Experience with data analysis, reconciliation, workflow tracking, or entity management systems.

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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