Independence Compliance Coord1
2 weeks ago
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 National Office of Risk Management (NORM) supports the implementation of programs, policies, and practices to manage RSM US risk. The Personal Independence Compliance Coordinator 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). The Personal Independence Compliance Coordinator collaborates with internal resources to assist on a variety of personal independence compliance responsibilities including pRiSM (the personal investment tracking system), independence compliance surveys and personal independence assessments. Works closely with other members of the Independence team with respect to these responsibilities.
Essential Duties
- Monitors shared personal independence compliance mailboxes; responds to related inquiries; teams with personal independence compliance team to provide timely, effective service related to personal independence compliance matters for firm personnel.
- Assists with overall Personal Independence Assessment (PIA) process including performing assessments
- Assists with monitoring and administrative tasks for pRiSM (the independence compliance tool)
- Supports the personal independence team with other ad hoc requests
- Assists with monitoring and administrative tasks for independence compliance surveys and attestations (including the Annual Independence Survey and New Hire Independence Survey)
Education
- Bachelor’s degree
TECHNICAL/SOFT SKILLS
- Proficiency with Microsoft Office (Excel, Word, Outlook)
- Ability to maintain confidentiality and discretion with respect to internal information
- Exhibit high attention to detail
EXPERIENCE
- 1 - 3years of experience in a compliance and/or project coordinator role preferred
- Previous compliance experience in a professional services environment preferred
Leadership Skills
- 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 in requesting feedback
- Willingness to learn in a fast paced environment
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. Experience the power of being understood.
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Hyderabad, India RSM US LLP Full timeThe National Office of Risk Management (NORM) supports the implementation of programs, policies, and practices to manage RSM US risk. The Personal Independence Compliance Coordinator 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),...
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