Regulatory Compliance Mgr-NORM

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Responsibilities

  • Consult with client service team personnel in evaluating and responding to significant audit risk matters affecting their clients and/or the services we provide to the client, including:

    • Handle the day to day management and execution of significant audit risk matters

    • Consider, develop and assist client service teams with negotiations with client’s legal or forensic resources to obtain appropriate audit evidence for significant audit risk matters

    • Lead or assist with interviews and discussions with client personnel, legal counsel and/or investigation personnel regarding significant audit risk matters

  • Review and assist with the revision of policies, procedures and firm guidance regarding the firm’s response and documentation to fraud or noncompliance with laws and regulations

  • Develop and document “playbooks” and more formalized protocols for common and/or frequently encountered audit risk events

  • Prepare reporting of NORM AIR activities to executive and NORM leadership

  • Assist with the preparation of reports to management regarding root causes and “lessons learned” and recommended remediation including the development of specialized training for firm personnel

  • Assist with the development and presentation of Fraud Response related courses offered at annual audit training at ATAC and EICC

  • Assist with the development of the firm’s required documentation as it relates to consideration of fraud in an engagement

  • Assist with the development and education of high performing client service professionals to provide guidance to engagement teams regarding the consideration of fraud on heightened risk audit engagements

  • Assist and provide additional capacity and expertise to the General Counsel’s Office, RPPO’s, NPSG and other NORM functions

  • Oversee and review work of rotational, bench and administrative resources assisting NORM AIR in providing  support to audit teams

  • Other duties as assigned

 

Education/ Certifications
Bachelor’s degree required

  • Licensed Certified Public Accountant (CPA) required

  • Certified Fraud Examiner (CFE) or Certified in Financial Forensics (CFF) preferred or strong desire to pursue certification

 

Experience

  • Minimum 6-8 years of relevant external audit professional experience with at least 5 years of increasing responsibility with a large regional, national or Big 4 public accounting firms required

  • Prior experience performing forensic accounting investigations a strong plus

     

Technical Skill Set

  • Strong written and verbal communication skills, including interviewing and listening skills, required

  • Working knowledge of GAAP and GAAS required; working knowledge of SEC, PCAOB rules and regulations strongly preferred

  • Proficiency with basic Microsoft Office tools required; Proficiency with SharePoint a plus

  • Proficiency with data analysis tools like excel or access strongly desired; IDEA or ACL preferred

  • Working knowledge of e-discovery practices and prior experience using e-discovery solutions a strong plus

  • Working knowledge of AICPA and SEC independence requirements a plus 

  • Ability to identify gaps in or revisions to existing operational policies and practices required 

  • Ability to apply sound professional judgment and skepticism and maintain objectivity in responding to significant risk events including:

    • Identifying potential issues and risks based on limited information

    • Identifying subject matter and other expertise needs

    • Developing an effective and efficient response plan

    • Conducting work in a discrete, professional and respectful manner

    • Considering alternative frames and biases in evaluating information obtained and identifying root cause(s)

    • Identifying, documenting and reporting findings and recommendations regarding remediation in a clear, concise, confidential and timely manner

 

Leadership Skill Set

  • Prior experience leading and/or managing multiple concurrent engagements required

  • Executive presence and the ability and desire to build strong, trusted relationships with partners, personnel and firm leadership required

  • Comfortable communicating and having difficult conversations respectfully with client service teams, clients, internal and external legal counsel and forensic accountants

  • Ability to quickly establish a rapport with client service teams to serve as their trusted advisor for significant audit risk matters

  • Ability to work independently, but also enjoy and be able to work in a collaborative, team environment

  • Willingness and ability to conduct difficult conversations, the confidence to make difficult recommendations and the courage to execute difficult decisions in a respectful and confidential manner required

  • Willingness and ability to transfer knowledge to client service professionals to increase fraud and litigation risk knowledge within the assurance practice

  • Willingness to make decisions with limited information

  • Willingness to question accepted practices and behaviors required

  • Thrives on constant change and new challenges

  • Self-motivated and hard working

  • Confidence to say no when everyone wants to the answer to be yes, required; and willingness to remain open to exploring the actions and conditions that might allow for the answer to become yes also required

  • Courage to admit to and learn from mistakes and move forward


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 req3064
Line of Business: Audit
SubFunction: Risk Management
Job Type: Full Time
Req #: req3064
Location: One South Wacker Dr Ste 800, , Chicago, IL US
Region: National
Job Category: Audit/Assurance
Employment Type: Experienced
Degree Required: Bachelor
Travel: Yes
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