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Independence Compliance Associate 1

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RSM US LLP

4d ago

  • Job
    Full-time
    Junior & Mid Level
  • Legal
  • Hyderabad, +1
  • Quick Apply

AI generated summary

  • You need a bachelor's degree, 2-4 years of compliance experience, proficiency in Microsoft Office, attention to detail, strong communication skills, and the ability to prioritize multiple projects.
  • You will monitor independence tracking systems, assist with compliance inquiries, support surveys, manage shared mailboxes, and handle ad hoc compliance requests.

Requirements

  • Bachelor’s degree – REQUIRED
  • Proficiency with Microsoft Office (Excel, Word, Outlook)
  • Ability to read and apply rules, regulations, policies and procedures
  • Ability to evaluate information against a set of standards
  • Ability to develop and maintain applicable professional and internal contacts, resources and networks
  • Ability to maintain confidentiality and discretion with respect to internal information
  • Exhibit high attention to detail
  • 2-4 years of experience in a compliance preferred
  • Previous compliance experience in a professional services environment preferred
  • Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts
  • Demonstrate passion, enthusiasm, and proactivity
  • Ability to manage and prioritize multiple projects with various deadlines for multiple supervisors
  • Ability to work both independently and within a team
  • Proactive, self starting
  • Willingness to learn in a fast paced environment

Responsibilities

  • Supports the review and monitoring of personal independence tracking system and restricted securities lists
  • Serves as a point of contact to respond and support firm personnel with inquiries related to the investment tracking system and point of contact to liaise between the firm and the vendor
  • Participates in the overall Personal Independence Assessment (PIA) process including performing assessments
  • Assists with monitoring and administrative tasks for Annual Independence Survey and New Hire Independence Survey
  • Monitors shared personal independence compliance mailbox; responds to related inquiries; teams with personal independence compliance team to provide timely, effective service related to personal independence compliance matters for firm personnel
  • Supports the personal independence team with other ad hoc requests including acquisition activity, reporting, and other tasks as assigned

FAQs

What is the location of the Independence Compliance Associate 1 position?

The job is typically based at RSM's National Office, which may have various locations; please refer to the official job posting for more specific details.

What is the educational requirement for this position?

A Bachelor’s degree is required for the Independence Compliance Associate 1 position.

Is prior experience in compliance necessary for this role?

Yes, 2-4 years of experience in compliance, preferably in a professional services environment, is preferred.

What technical skills are required for this position?

Proficiency with Microsoft Office (specifically Excel, Word, and Outlook) is required, along with the ability to read and apply rules, regulations, policies, and procedures.

What are the essential duties of the Independence Compliance Associate 1?

Key responsibilities include monitoring personal independence tracking systems, responding to inquiries related to the investment tracking system, participating in the Personal Independence Assessment process, and assisting with monitoring and administrative tasks for the Annual Independence Survey.

What kind of work environment can I expect at RSM?

RSM offers an inclusive culture that inspires and empowers individuals to thrive both personally and professionally.

Are there opportunities for growth within this position?

Yes, RSM fosters an environment for learning and professional development, which provides opportunities for career advancement.

What benefits are included in the compensation package?

RSM offers a competitive benefits and compensation package, including flexibility in scheduling and support for work-life balance.

How does RSM address discrimination and harassment?

RSM has a zero-tolerance policy for discrimination and harassment based on various protected characteristics, ensuring a respectful workplace for all employees.

How can applicants request accommodations during the recruitment process?

Applicants can request accommodations for disabilities by emailing careers@rsmus.com in connection with the recruitment process.

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RSM US LLP

Experience the power of being understood.

Accounting
Industry
10,001+
Employees
1964
Founded Year

Mission & Purpose

RSM is the leading provider of assurance, tax and consulting services to the middle market. With over 13,000 professionals across the U.S. and Canada and a global presence in 123 countries, our purpose is to deliver the power of being understood to our clients, colleagues and communities. As first-choice advisors, we are focused on developing leading professionals and innovative services to meet our clients’ evolving needs in today’s ever-changing business environment. Through a supportive, caring culture, our people are empowered to be their authentic selves and share their unique perspectives. Our culture of diversity and inclusion enhances the insights we provide while transforming innovation, collaboration and business results through fostering an inclusive environment, working hard to engage a talented workforce and reflect our diverse community, and developing relationships that serve others in business and the broader community. Together, our people’s individual talents and diverse perspectives strengthen our teams and enhance the unique insights that we provide to our clients.

Culture & Values

  • Respect

    Being considerate towards others. We display respect in each interaction with our clients, colleagues and stakeholders.

  • Integrity

    Acting ethically and honestly. We stay true to our values in our decisions, commitments and communications.

  • Team Work

    Working collaboratively and transparently. We cultivate genuine collaboration within our business, in our community and across borders.

  • Excellence

    Being the best in everything we do. We achieve distinction through the quality of our work, standards and operations.

  • Stewardship

    Delivering better results for our clients, people, shareholders and the community. We improve by developing our people, promoting diversity, building our brand and supporting our communities.

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