Compliance Specialist

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The Compliance Specialist is responsible for monitoring compliance with firm policy and industry regulations regarding Continuing Professional Education (CPE), CPA licensing and business licensing. Responsibilities include the accurate tracking of CPE credits for RSM’s external client servers, communications regarding routine CPE and CPA license inquiries and follow ups due to noncompliance and other miscellaneous Regulatory team projects, including firm licensing and business insurance support.

1.  Drive compliance with RSM policies and regulatory requirements through tracking tools and communications with respect to continuing professional education and individual CPA licensure

2. Assist with completing applications and maintaining the SharePoint site and supporting the Firm Licensing Specialist in ensuring the firm’s business licenses are current in every jurisdiction in which we have a location, for all relevant legal entities

3. Support NORMs Director of Regulatory Compliance & Insurance by providing responses to requests for evidence of insurance and other miscellaneous insurance requests.

4. Assist Regulatory Compliance team with other ad hoc requests as needed including acquisition activity, reporting, and administrative tasks.

EDUCATION/CERTIFICATIONS

  • Bachelor’s degree or equivalent experience

TECHNICAL/SOFT SKILLS

Ability to:

  • Read and apply rules, regulators, policies and procedures
  • Ensure compliance with NASBA contract terms, policies and procedures, etc.
  • Communicate information clearly and concisely, in writing
  • Read and understand information presented in writing
  • Develop and maintain applicable professional and internal contacts, resources and networks
  • Evaluate information against a set of standards
  • Strong MS Excel skills and knowledge of MS Word and Outlook
  • Strong SharePoint skills

EXPERIENCE

  • Previous compliance related role required
  • CPE tracking software experience preferred
  • PeopleSoft knowledge preferred

LEADERSHIP SKILLS

  • Business Awareness: The demonstration of an understanding of the impact of regulatory controls on business conditions – required
  • Customer Focus: Acts to make things better by making deliberate attempts to add value. Seeks information from supervisor for guidance on customer approach

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 US. Experience the power of being understood.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.
Job ID req4332
Line of Business: Internal Client Service
SubFunction: Legal - Risk Management
Job Type: Full Time
Req #: req4332
Location: 801 Nicollet Mall, 11th Floor - West Tower, Minneapolis, MN US
Region: National
Job Category: Legal
Employment Type: Experienced
Degree Required: Bachelor
Travel: No
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