RSM US LLP hiring SEC Professional Practice Office Partner in New York, NY | LinkedIn (2024)

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 SEC Professional Practice Office role is responsible for overseeing management of the firm’s 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 firm’s key business processes to effectively anticipate and address the longer-term 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, firm’s 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 non-registrants.
• 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 leader’s 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, well-being, 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; Master’s 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 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; 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 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.