Private Equity Independence Manager

| Miami, FL
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The National Office of Risk Management (NORM) supports the implementation of programs, policies, and practices to manage RSM US risk. The independence manager assists with managing risk to the firm and its personnel regarding independence requirements of regulatory bodies including the Securities Exchange Commission, Public Accounting Oversight Board and American Institute of Certified Public Accountants. This position is a member of the centralized team providing independence monitoring support to engagement teams serving clients with complex organizational structures. Relocation is not required.

REIMAGINING FLEXBILITY - RSM's goal is to offer flexibility in when, where and how you work to help you manage your unique professional and personal priorities while still delivering excellent RSM experiences for your clients, colleagues and communities.

LOCATION FLEXIBILITY - RSM has offices in more than 90 locations throughout the US and Canada. RSM's candidate search for this position is nationwide.

Essential Duties

  • 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.)
  • Manage quarterly conflict 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).
  • Work with finance to monitor and approve (with respect to independence) any new vendor resale agreements with entities in the High Risk Complex Organizational Structures being monitor.
  • 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.
  • Other duties as assigned.


Required Qualifications

  • Bachelor's degree in Accounting
  • 5-7+ years' experience in public accounting (required), preferably with substantive exposure to independence considerations in professional practice
  • Ability to read and apply rules, regulations, policies and procedures
  • Ability to communicate information clearly and concisely, in writing to diverse audiences across the firm and to outside professional contacts
  • Excellent conflict resolution skills
  • Proficient in use of Microsoft Office products including familiarity with SharePoint as a document repository
  • Demonstrated ability to identify and recommend process improvement and efficiency
  • Ability to maintain confidentiality and discretion
  • Demonstration of an understanding of the impact of regulatory controls on business conditions
  • Acts to make things better by making deliberate attempts to add value; seeks information from supervisor for guidance on consultative approach
  • Strong managerial and prioritization skills
  • Able to adapt quickly to changes in regulatory environment, industry and the firm
  • Ability to respond positively to changing circumstances, seek and implement change to drive business improvement
  • Ability to work independently and collaboratively with the independence team and engagement teams


Preferred Qualifications

  • Active CPA license
  • Experience with and understanding of private equity structures
  • Experience with the application of the SEC independence rules
  • Knowledge of SEC, PCAOB and AICPA Independence rules and ability to recognize the potential impact of changes to firm policies, processes and personnel
  • Ability to develop and maintain applicable professional and internal contacts, resources and networks



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: req22358_Miami

Line of Business: Audit

SubFunction: Assurance Services

Job Type: FullTime

Req #: req22358_Miami

Location: Miami, FL US

Region: National

Job Category: Audit/Assurance

Employment Type: Experienced

Degree Required: Bachelor

Travel: Yes

More Information on RSM US LLP
RSM US LLP operates in the Business Intelligence industry. The company is located in Chicago, IL. RSM US LLP was founded in 1926. It has 16030 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability insurance, Dental insurance, Vision insurance, Health insurance and Life insurance. To see all jobs at RSM US LLP, click here.
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