Independence Compliance Manager

RSM's India Global Capability Center; Hyderabad, Gurugram District, Bengaluru; On-site; INR 3,000,000 - 6,000,000; Full time

Job summary

RSM's India Global Capability Center is seeking an Independence Operations Manager 2 to oversee the Independence Operations Team and manage day-to-day risk related to auditor independence rules from SEC, PCAOB, and AICPA. The role includes coaching staff and ensuring timely updates to the entity management system (EMS).

You will lead process improvements, training, data cleansing, and stakeholder communications, coordinating with engagement teams and HR for recruiting while maintaining

Qualifications

• Bachelor's degree in accounting (preferred) or other business degree.
• Comprehending rules, regulations, policies, and procedures (required).
• Awareness of independence rulesets, including SEC, PCAOB and AICPA (required).
• Communicating information clearly and concisely, in writing to diverse audiences across the firm and to outside professional contacts (required).
• Demonstrating expert conflict resolution skills (required).
• Proficient use of Microsoft Office products including familiarity with SharePoint as a document repository (required).
• Ability to identify and recommend process improvement and efficiency (required).
• Ability to maintain confidentiality and discretion (required).

Responsibilities

• Management and oversight of the Independence Operations Team, including creating and reviewing process documents, training materials, and other resources to assist the team's success and growth
• Assisting the Operations team, Client Engagement teams, and other stakeholders with understanding independence affiliate rules
• Maintenance of EMS relationships and data, conducting consultations with client servers, and reviewing proposed edits to the EMS, especially in times of high volume
• Identifying opportunities for, and proposing and implementing, process improvements
• Providing performance reviews and career guidance to junior staff
• Management of team's growth, including liaising with USI Human Resources to recruit and onboard new team members
• Other duties, as assigned

Skills

Regulatory knowledge

Coaching

Communication

Conflict resolution

Process improvement

Confidentiality

MS Office

SharePoint

Education

Bachelor's degree in accounting

Tools

Microsoft Office

SharePoint

Job description

Job Summary

The Office of Risk Management ("O.R.M") supports the implementation of programs, policies, and practices to manage RSM US (or "Firm") risk. The Independence Operations Manager 2 will assist with managing day to day risk to the firm regarding independence requirements of regulatory bodies, including the Securities Exchange Commission, Public Company Accounting Oversight Board, and the American Institute of Certified Public Accountants. The Manager 2 will coach and manage a team of individuals responsible for processing updates to the entity management system ("EMS") based on the relevant auditor independence rules. This will involve managing those who perform the intake and analysis process of the relevant submissions and the final review process prior to system update, including hosting phone and video calls with engagement teams to clarify updates. As a subject matter expert on the independence affiliate rules, they will also coach the Operations team and other stakeholders on the affiliate rules. The candidate may also be involved in related tasks, including training, data cleansing, and other relevant duties. The Manager 2 will lead the creation and continuous improvement of processes designed to maximize the firm\'s system of quality controls to ensure timely and effective updates to the EMS.

Responsibilities

• Management and oversight of the Independence Operations Team, including creating and reviewing process documents, training materials, and other resources to assist the team's success and growth
• Assisting the Operations team, Client Engagement teams, and other stakeholders with understanding independence affiliate rules
• Maintenance of EMS relationships and data, conducting consultations with client servers, and reviewing proposed edits to the EMS, especially in times of high volume
• Identifying opportunities for, and proposing and implementing, process improvements
• Providing performance reviews and career guidance to junior staff
• Management of team's growth, including liaising with USI Human Resources to recruit and onboard new team members
• Other duties, as assigned

Education / Certifications

• Bachelor's degree in accounting (preferred) or other business degree

Technical/Soft Skills

• Comprehending rules, regulations, policies, and procedures (required)
• Facilitating coaching of stakeholders of all levels on complex regulatory matters
• Awareness of different independence rulesets, including SEC, PCAOB and AICPA (required)
• Awareness of interrelated policies, processes, and personnel (preferred)
• Communicating information clearly and concisely, in writing to diverse audiences across the firm and to outside professional contacts (required)
• Demonstrating expert conflict resolution skills (required)
• Proficient use of Microsoft Office products including familiarity with SharePoint as a document repository (required)
• Ability to identify and recommend process improvement and efficiency (required)
• Ability to maintain confidentiality and discretion (required)

Experience

• 8+ years experience in public accounting (required)
• Exposure to independence considerations in professional practice (required)
• 5+ years experience coaching, leading, and monitoring a team in a highly standardized, process-driven environment (required)
• Familiarity with an accounting firm's entity management system (required) preferably at a Big Four accounting firm (preferred)
• Managing teams internationally (preferred)

Leadership Skills

• Coaching and managing a team in a highly standardized environment.
• Monitoring team activities and proactively identifying and remediating challenges.
• Maintaining team morale
• Organizational and prioritization skills (required)
• Able to adapt quickly to changes in process (required)
• Facilitating technically complex discussions with stakeholders
• Proactively requesting and providing feedback (required)
• Timely engaging key stakeholders regarding important decisions, as appropriate. (preferred)

Location -

• Bengaluru
• Gurugram
• Hyderabad
• Kolkata