Independence Compliance Associate 1

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, inclusive 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 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

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/india.html.  

RSM does not tolerate discrimination and/or harassment based on race; colour; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender (including gender identity and/or gender expression); 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 Indian Armed Forces; Indian Armed Forces Veterans, and Indian Armed Forces Personnel status; pre-disposing genetic characteristics or any other characteristic protected under applicable provincial employment legislation.  

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 send us an email at careers@rsmus.com.