Independence Compliance Coord1

4 days ago

Hyderabad, India RSM US LLP Full time

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

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