Independence Senior Associate

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.

The PE independence senior associate assists with managing risk to the Firm regarding independence requirements of regulatory bodies including the Securities Exchange Commission, Public Accounting Oversight Board and American Institute of Certified Public Accountants. The position is a member of the National Office of Ethics and Independence team, assisting engagement teams with compliance with independence policies, including assistance with policy development, performing the initial evaluation of engagement specific independence consultations, and assisting the personal independence team with consultations. This position is a member of the centralized team providing independence monitoring support to engagement teams serving clients with complex organization structures. Relocation is not required.

Essential Duties

• Manage quarterly independence search initiation, triage, and clearance and resolution processes including providing engagement teams with documentation supporting the conflicts resolution conclusions.
• Work with LOB service teams during client and engagement acceptance to complete the conflict search from initiation through resolution in a centralized manner (aside from party searches, which will continue to be performed by the centralized conflicts team).
• Assist engagement teams and relationship leaders with managing risk for overall relationship Primary independence contact point for all engagement teams serving the High Risk CSO Primary independence contact for High Risk COS relationship leaders
• Maintain affiliate trees for private equity client relationships in the firm’s entity management system as directed by the National Office of Ethics and Independence.  Includes gathering data and information about affiliates from structure charts and public resources.
• Consult with client service teams (business developers / relationship leaders) regarding current engagements and pursuits to assess immediate and future independence implications of all components of the relationship between the Firm and High Risk complex organizational structures clients.
• Advise on independence implications of various client relationship and business decisions (such as vendor resale agreements, selecting optional SEC independence for an entire family tree, prospective services and their future impacts, etc.).

EDUCATION/CERTIFICATIONS

(MUST NOTE REQUIRED OR PREFERRED)

• Bachelor’s degree (required) in Accounting or related degree (preferred)
• Eligible to obtain CPA license (preferred)

TECHNICAL/SOFT SKILLS

(MUST NOTE REQUIRED OR PREFERRED)

• Learning to read and apply rules, regulations, policies and procedures – required
• Awareness of SEC, PCAOB and AICPA Independence rules and ability to recognize the potential impact of changes to firm policies, processes and personnel (preferred)
• Learning to communicate information clearly and concisely, in writing to diverse audiences across the firm and to outside professional contacts (required)
• Developing conflict resolution skills (required)
• Proficient in use of Microsoft Office products including familiarity with SharePoint as a document repository (required)
• Learning to identify and recommend process improvement and efficiency (required)
• Learning to develop and maintain applicable professional and internal contacts, resources and networks (preferred)
• Ability to maintain confidentiality and discretion (required)

EXPERIENCE

(MUST NOTE REQUIRED OR PREFERRED)

• A minimum of three to six years of experience in public accounting is required
• Experience with and understanding of private equity structures – preferred
• Experience with the application of the SEC independence rules - preferred

LEADERSHIP SKILLS

(MUST NOTE REQUIRED OR 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

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

As an Affirmative Action and Equal Opportunity Employer all applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender (including gender identity and/or gender expression); sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. 

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM’s background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.

At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.

Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.