This role can sit in a number of locations, to include Minneapolis, MN, Atlanta, GA, Denver, CO or Raleigh, NC
NORM supports the implementation of programs, policies, and practices to manage RSM US risk. The Risk Compliance Associate assists with monitoring the compliance regarding independence requirements of regulatory bodies including the Securities Exchange Commission, Public Accounting Oversight Board and American Institute of Certified Public Accountants. The position interacts with stakeholders domestically and globally to help ensure compliance with global and domestic independence policies. The associate also assists with efforts to monitor individual compliance with the firm’s Independence policies and regulatory rules and collaborates with internal resources to ensure the accuracy of information in the investment tracking system. Works closely with other members of the Independence Compliance & Regulatory Risk team with respect to achieving these responsibilities. Relocation is not required.
Assists with the independence compliance processes through accurate monitoring and communication of compliance with firm policy and regulatory requirements, conducting audits related to personal independence and helping to ensure the firm’s system of records related to domestic and global independence are complete and accurate.
Monitors shared independence compliance mailbox; responds to related inquiries; teams with regulatory compliance team to provide timely, effective service related to independence compliance matters for firm personnel.
Assist the independence monitoring processes related to partner/employee personal independence compliance
Assist with development and presentation of independence related training
Other National Office of Risk Management related projects, as needed
Bachelor’s degree or equivalent experience(required)
Proficiency with Microsoft Office (Excel, Word, Outlook)
Strong SharePoint skills
Ability to read and apply rules, regulations, policies and procedures
Ability to evaluate information against a set of standards
ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts
Ability to develop and maintain applicable professional and internal contacts, resources and networks
Ability to maintain confidentiality and discretion with respect to internal information
Exhibit high attention to detail and strong proofreading skills
Minimum of 3-5 years of experience in a compliance and/or project coordinator role required
Previous compliance experience in a professional services environment preferred
Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts
Demonstrated passion, enthusiasm, and proactivity
Ability to manage and prioritize multiple projects
Identify and implement process improvements
Ability to work both independently and collaboratively within a team
Proactive in requesting feedback
You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.
Experience RSM US. Experience the power of being understood.
RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.