SEC Professional Practice Office Partner
SEC Professional Practice Office Partner
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Salary Not Disclosed
1 Vacancy
Job Description
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 culture and talent experience and our ability to be compelling to our clients. Youll find an environment that inspires and empowers you to thrive both personally and professionally. Theres no one like you and thats why theres nowhere like RSM.
The SEC Professional Practice Office role is responsible for overseeing management of the firms SEC audit engagements providing consultations on complex issues related to SEC audits and development and issuance of thought leadership and guidance on SEC rules and regulations. The role involves providing strategic direction technical expertise and leadership to ensure we are complying with SEC regulations and reflect the highest standards in audit quality.
Essential Duties:
Qualities
Provides strategic direction and leadership to ensure compliance with SEC regulations and PCAOB standards.
Collaborate with SEC audit engagement teams to resolve complex matters.
Participates in internal and external inspections for SEC audit engagements.
Develops and maintains firm positions and guidance in matters related to the SEC and other regulators / exchanges including association with registered and exempt client offerings.
Ownership of the curriculum design and oversight of nationally delivered training related to SEC regulatory matters (internal and external) inclusive of exempt offerings
Responsible for relevant sections of our manuals ensuring they are current accurate and complete with respect to SEC regulatory matters inclusive of exempt offerings.
Resource to the Office of General Counsel and Audit Incident Response as a firm SEC expert.
Leadership
Provides leadership and direction within the National Office in support of the overall strategic direction of the SEC practice within the Audit line of business.
Actively collaborates among the National Professional Standards Group (NPSG) NORM and the National SEC Practice Leader to continuously improve National Office service to engagement teams and clients.
Applies thorough understanding of the firms key business processes to effectively anticipate and address the longerterm implications of decisions/actions.
Client Service
Operates as an expert level Subject Matter Expert for SEC regulations related topics (internally and externally)
Consults with engagement teams members of the Regional Professional Practice Office (RPPO) and Technical Industry Leaders as requested (or required by firm policy) on SEC related complex accounting auditing independence and risk management matters.
Oversees client acceptance and continuance process for SEC engagements.
Responsible for ownership and management of the SEC partner rotation firms form AP filings and PCAOB data requests of our SEC practice list.
Risk Management
Review potential SEC registrants client acceptance and continuance decisions as may be required by our risk management policies.
Provides support to the NORM as it relates to the client acceptance tools for SEC regulatory matters inclusive of exempt offerings for nonregistrants.
Assists engagement leaders with SEC examination inquiries and comment letters.
Chair of the SEC Client Acceptance and Reevaluation Committee (SECCAR).
May participate as a member (or Chair) of other (FI/FS/insurance/crypto/EB) Client Acceptance and Reevaluation Committee (CAR committees).
Works closely with NORM on internal peer review PCAOB and other regulatory inspections including assisting with written responses as applicable.
Talent Experience
Sets the strategy for recruiting developing and retaining SEC skilled resources to ensure high quality client serving SEC engagement teams and strong internal pipeline of talent.
Works closely with the Assurance operations leaders team to ensure proper staffing on SEC engagements.
Fosters a positive and proactive work environment emphasizing respect for individuals high standards of quality innovation and teamwork.
Facilitates the ongoing learning wellbeing professional satisfaction and development of staff through training work assignments increased responsibility/autonomy and mentoring
Experience required:
Minimum 15 years experience in a National CPA Firm involved in the Assurance practice or as a regulator such as with the SEC/PCAOB
Bachelors degree in accounting required; Masters degree preferred
Certified Public Accountant (required)
Extensive knowledge of Accounting and Auditing Standards and SEC and PCAOB regulations
Ability to effectively and substantively interact with regulators
Sets the tone at the top including leading and embracing change
Must exhibit an exceptional client service attitude possess outstanding people skills and take a proactive approach in working with employees
Excellent verbal and written communication skills
Ability to communicate motivationally and deliver tough messages
Demonstrated excellent coordination organizational planning and analytical skills
Takes ownership of results
Ability to prioritize and manage multiple projects/assignments simultaneously
Viewed as expert in the firm and sought out by others regionally and nationally with respect to deep functional and technical expertise
Displays executive presence in interactions with others (e.g. calming influence confidence)
At RSM we offer a competitive benefits and compensation package for all our offer flexibility in your schedule empowering you to balance lifes demands while also maintaining your ability to serve more about our total rewards at 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; 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; predisposing 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 ator send us an email at .
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 RSMs background check process including information about job duties that necessitate the use of one or more types of background checks click here.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
