SEC Professional Practice Office Partner

at RSM US LLP in ChicagoChicago, Illinois, United States

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, 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... For full info follow application link.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.