Independence Compliance Manager 1

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)