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.
Bachelor’s degree or equivalent experience
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
Previous compliance related role required
CPE tracking software experience preferred
PeopleSoft knowledge preferred
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
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