SEC Services Managing Director

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 Services Managing Director is a critical, impactful member of the SEC Services group within our National Professional Standards Group (NPSG). The SEC Services group is responsible for SEC regulatory matters within the audit line of business as they relate to firm policies and procedures, tools, manuals, training, and risk management. The SEC Services group also oversees client acceptance and continuance of SEC assurance engagements and actively collaborates with:

• The National Office of Risk Management (NORM) in all SEC/PCAOB-related audit quality initiatives and (b) the Audit and Standards Methodology Group (ASMG) in all PCAOB-related audit guidance.
• Assists in the development and maintenance of firm positions and guidance in matters related to the SEC and other regulators / exchanges including association with registered and exempt client offerings
• 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/PCAOB – related complex accounting, auditing, independence, and risk management matters.
• Supports the Firm’s internal and PCAOB inspection process including (i) engagement team preparation prior to and support during inspection (ii) remediation assistance as warranted (iii) participation in root cause sessions for negative and positive quality events
• Partners with leaders on curriculum design and delivery of nationally delivered training related to SEC regulatory matters (internal and external) inclusive of exempt offerings
• Develops and/or reviews all comment letters applicable to SEC/PCAOB regulations and policy changes
• Assists and advises the firm’s ASMG on PCAOB-related manuals, tools, practice aids
• Develops SEC regulations and PCAOB standards – related content for internal and external publication
• Involved in professional organizations and subcommittees thereof at a national level as firm representative
• Supports process for (and firm controls over) SEC/PCAOB client acceptance and continuance decisions
• Serves as a resource as for various other SEC/PCAOB-related initiatives (e.g. centers of excellence, monitoring activities, regulatory compliance) as determined in collaboration with NPSG and NORM
• Other duties as assigned

EDUCATION/CERTIFICATIONS

• Bachelor’s Degree (REQUIRED)
• CPA license in principal place of business REQUIRED
• Experience with audit tools such as CaseWare and IDEA

TECHNICAL/SOFT SKILLS:

• Working knowledge of and compliance with GAAP/GAAS/PCAOB standards and SEC regulations REQUIRED

EXPERIENCE & LEADERSHIP SKILLS:

• 8-10+ years experience in a National CPA Firm involved in the Assurance practice
• 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 coordination, organizational planning and analytical skills
• Takes ownership of results
• Ability to prioritize and manage multiple projects/assignments simultaneously
• Ability to effectively and substantively interact with regulators
• 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)
• Demonstrates critical thinking and applies appropriate professional integrity, objectivity and skepticism

At RSM, we offer a competitive benefits and compensation package for all our people.  We support and inspire you to prioritize your wellbeing by delivering personalized, holistic programming for your physical, emotional, financial and community wellbeing. RSM has a generous time off policy with at least 14 paid holidays, wellbeing days and associate and above access to self-managed time off.  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://