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Job Details

Audit Incident Response Manager - National Office of Risk Management NORM

Chicago, IL

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RSMs National Office of Risk Management (NORM) is seeking an Audit Incident Response Manager to join our team. NORM supports the implementation of programs, policies, and practices to ensure that the Firm and all Firm personnel comply with the regulatory requirements for the applicable regulatory bodies, including the Public Company Accounting Oversight Board (PCAOB), the Canadian Public Accountability Board (CPAB), state boards of accountancy and others to help manage Firm risk. The Insurance and Regulatory Compliance Manager helps to ensure compliance with regulatory bodies and assists with the management of the firm’s various business insurance programs. The National Office of Risk Management is responsible for overseeing the Firm's risk management activities and implementing process improvements to create a robust governance culture.
***The preferred location for this role is the Chicago office or the Minneapolis office, however other locations may be considered.***
Consult with client service team personnel in evaluating and responding to significant audit risk matters affecting their clients and/or the services we provide to the client, including:
Handle the day to day management and execution of significant audit risk matters
Consider, develop and assist client service teams with negotiations with client’s legal or forensic resources to obtain appropriate audit evidence for significant audit risk matters
Lead or assist with interviews and discussions with client personnel, legal counsel and/or investigation personnel regarding significant audit risk matters
Review and assist with the revision of policies, procedures and firm guidance regarding the firm’s response and documentation to fraud or noncompliance with laws and regulations
Develop and document “playbooks” and more formalized protocols for common and/or frequently encountered audit risk events
Prepare reporting of NORM AIR activities to executive and NORM leadership 
Assist with the preparation of reports to management regarding root causes and “lessons learned” and recommended remediation including the development of specialized training for firm personnel
Assist with the development and presentation of Fraud Response related courses offered at annual audit training at ATAC and EICC
Assist with the development of the firm’s required documentation as it relates to consideration of fraud in an engagement
Assist with the development and education of high performing client service professionals to provide guidance to engagement teams regarding the consideration of fraud on heightened risk audit engagements
Assist and provide additional capacity and expertise to the General Counsel’s Office, RPPO’s, NPSG and other NORM functions
Oversee and review work of rotational, bench and administrative resources assisting NORM AIR in providing  support to audit teams
Other duties as assigned
Education/ Certifications
Bachelor’s degree required
Licensed Certified Public Accountant (CPA) required
Certified Fraud Examiner (CFE) or Certified in Financial Forensics (CFF) preferred or strong desire to pursue certification 
Minimum 6-8 years of relevant external audit professional experience with at least 5 years of increasing responsibility with a large regional, national or Big 4 public accounting firms required
Prior experience performing forensic accounting investigations a strong plus
Technical Skill Set
Strong written and verbal communication skills, including interviewing and listening skills, required
Working knowledge of GAAP and GAAS required; working knowledge of SEC, PCAOB rules and regulations strongly preferred
Proficiency with basic Microsoft Office tools required; Proficiency with SharePoint a plus
Proficiency with data analysis tools like excel or access strongly desired; IDEA or ACL preferred
Working knowledge of e-discovery practices and prior experience using e-discovery solutions a strong plus
Working knowledge of AICPA and SEC independence requirements a plus 
Ability to identify gaps in or revisions to existing operational policies and practices required 
Ability to apply sound professional judgment and skepticism and maintain objectivity in responding to significant risk events including: Identifying potential issues and risks based on limited information
Identifying subject matter and other expertise needs
Developing an effective and efficient response plan
Conducting work in a discrete, professional and respectful manner
Considering alternative frames and biases in evaluating information obtained and identifying root cause(s)
Identifying, documenting and reporting findings and recommendations regarding remediation in a clear, concise, confidential and timely manner 
Leadership Skill Set
Prior experience leading and/or managing multiple concurrent engagements required
Executive presence and the ability and desire to build strong, trusted relationships with partners, personnel and firm leadership required
Comfortable communicating and having difficult conversations respectfully with client service teams, clients, internal and external legal counsel and forensic accountants
Ability to quickly establish a rapport with client service teams to serve as their trusted advisor for significant audit risk matters
Ability to work independently, but also enjoy and be able to work in a collaborative, team environment
Willingness and ability to conduct difficult conversations, the confidence to make difficult recommendations and the courage to execute difficult decisions in a respectful and confidential manner required
Willingness and ability to transfer knowledge to client service professionals to increase fraud and litigation risk knowledge within the assurance practice
Willingness to make decisions with limited information
Willingness to question accepted practices and behaviors required
Thrives on constant change and new challenges
Self-motivated and hard working
Confidence to say no when everyone wants to the answer to be yes, required; and willingness to remain open to exploring the actions and conditions that might allow for the answer to become yes also required
Courage to admit to and learn from mistakes and move forward
You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.
Experience RSM US. Experience the power of being understood.
RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.
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