Independence Senior Associate

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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. 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 Independence Senior Associate serves as a technical preparer and developing reviewer who helps manage the Firm’s risk related to independence requirements of the Securities and Exchange Commission, Public Company Accounting Oversight Board, and American Institute of Certified Public Accountants. As a member of the National Office of Ethics and Independence, the role supports engagement teams serving private equity and other clients with complex organizational structures through independence research and analysis, consultations and searches, and affiliate and entity data support. The Senior Associate coordinates assigned matters from fact gathering through handoff for review and may perform initial technical review of established AICPA matters after demonstrating proficiency but does not have final approval authority.

Responsibilities:

• Research and apply AICPA, SEC, PCAOB and Firm independence requirements to assigned matters. Gather and document relevant facts, assess the applicable independence framework, prepare analyses and preliminary conclusions, and identify SEC applicability, potential impairment indicators, incomplete or conflicting facts, and other matters requiring escalation. Escalate unclear rules, material exceptions, unresolved facts, or matters outside assigned authority, and confirm assigned technical actions and workpaper updates are complete. Perform initial triage of incoming requests under the direction of Independence management and, after demonstrating proficiency, may perform assigned initial technical review of established AICPA matters.

• Support Independence Managers and engagement teams serving private equity and other clients with complex organizational structures. Assist with evaluating independence implications involving funds, portfolio companies, ownership and control relationships, affiliates, covered persons, service arrangements, acquisitions, prospective services and capital markets activity. Gather facts, coordinate routine information requests, prepare status updates, draft technical communications for approval, communicate through approved channels and do not present preliminary observations as final conclusions. Support implementation and follow-through of approved conclusions. implementation and follow-through of approved conclusions.

• Assist with AICPA, SEC, annual and engagement-specific independence search processes and transaction monitoring. Review and organize search results, investigate identified relationships, coordinate with stakeholders to obtain missing information or resolve open matters, and prepare documentation supporting the analysis and preliminary conclusion. Escalate potential impairments, SEC considerations, unusual relationships and significant unresolved exceptions.

• Assist with complex affiliate analyses and maintenance of affiliate trees and entity records. Gather and evaluate information from organizational charts, stakeholder documentation, public resources and approved Firm systems; prepare proposed updates; and assess the potential technical implications of data changes. Prepare organized, traceable workpapers identifying sources, research, procedures, exceptions, analysis and preliminary conclusions. Support reconciliations involving Form ADV, Alteryx, InTrust, master affiliate templates and other approved sources and tools.

• Manage assigned matters, deadlines, fact requests, open items, workpapers and status reporting through complete handoff for review. Maintain organized and traceable supporting evidence, respond to review comments, coordinate with US and India team members, communicate delivery risks and missing information to the accountable Manager, and ensure assigned actions and system updates are completed.

• Assist with the development and delivery of independence training, tools, templates, procedures and guidance. Provide task-level guidance after demonstrating proficiency, share lessons learned, and participate in testing and evaluating approved process, technology, automation and documentation improvements. Use approved tools for authorized purposes, independently validate outputs against source data, retain supporting evidence, document exceptions, and escalate inconsistent results.

• Other National Office of Ethics and Independence or Office of Risk Management projects and duties as assigned.

Qualifications:

Education

• Bachelor’s degree required; degree in accounting, finance, business or a related field preferred.

Technical/Soft Skills

• Developing knowledge of AICPA, SEC, and PCAOB independence requirements, with demonstrated ability to research and apply professional standards, regulatory requirements, and Firm policies - required

• Strong analytical, organizational, documentation, and follow-through skills - required

• Identifies potential independence issues and escalates appropriately - required

• Strong written and verbal communication skills - required

• Effectively manages multiple priorities and deadlines - required

• Collaborates effectively across teams - required

• Maintains confidentiality and professional discretion - required

• Proficient in Microsoft Excel, Word, and PowerPoint - required

• Effectively uses approved emerging technologies, including Microsoft Copilot - required

Experience

• 3+ years of relevant public accounting, independence, risk, audit, compliance, or professional services experience - required

• Experience researching and a…