Independence Compliance Associate 1
The Office of Risk Management (ORM) supports the implementation of programs, policies, and practices to manage RSM US risk. The Personal Independence Compliance Associate is responsible for assisting with efforts to monitor individual compliance with the firm's Independence policies and rules set by the Securities Exchange Commission (SEC), Public Accounting Oversight Board (PCAOB) and American Institute of Certified Public Accountants (AICPA) and collaborates with internal resources to ensure the accuracy of information in the investment tracking system. Works closely with other members of the Independence team with respect to these responsibilities
Essential Duties
- Supports the review and monitoring of personal independence tracking system and restricted securities lists
- Serves as a point of contact to respond and support firm personnel with inquiries related to the investment tracking system and point of contact to liaise between the firm and the vendor
- Participates in the overall Personal Independence Assessment (PIA) process including performing assessments
- Assists with monitoring and administrative tasks for Annual Independence Survey and New Hire Independence Survey
- Monitors shared personal independence compliance mailbox; responds to related inquiries; teams with personal independence compliance team to provide timely, effective service related to personal independence compliance matters for firm personnel
- Supports the personal independence team with other ad hoc requests including acquisition activity, reporting, and other tasks as assigned
EDUCATION/CERTIFICATIONS
- Bachelor's degree or equivalent experience REQUIRED
TECHNICAL/SOFT SKILLS
- Proficiency with Microsoft Office (Excel, Word, Outlook)
- Ability to read and apply rules, regulations, policies and procedures
- Ability to evaluate information against a set of standards
- 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
EXPERIENCE
- 2-4 years of experience in a compliance preferred
- Previous compliance experience in a professional services environment preferred
LEADERSHIP SKILLS
- Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts
- Demonstrate passion, enthusiasm, and proactivity
- Ability to manage and prioritize multiple projects with various deadlines for multiple supervisors
- Ability to work both independently and within a team
- Proactive, self starting
- Willingness to learn in a fast paced environment
