Partner in SEC Professional Practice Office

2 weeks ago

Philadelphia, Pennsylvania, United States RSM Full time

At RSM, we are recognized as the premier provider of professional services tailored for the middle market on a global scale. Our mission is to foster confidence amidst change, enabling our clients and our team to achieve their utmost potential. Our remarkable personnel are the cornerstone of our unique, inclusive culture and exceptional talent experience, making us an attractive choice for clients. Here, you will discover an environment that motivates and empowers you to excel both personally and professionally.

The role of the SEC Professional Practice Office Partner entails the oversight of the firm's SEC audit engagements, offering consultations on intricate issues pertaining to SEC audits, and developing and disseminating thought leadership and guidance regarding SEC rules and regulations. This position requires providing strategic direction, technical expertise, and leadership to ensure adherence to SEC regulations while upholding the highest standards of audit quality.

Key Responsibilities:

Strategic Leadership

Deliver strategic guidance and leadership to guarantee compliance with SEC regulations and PCAOB standards. Collaborate with SEC audit engagement teams to address complex issues. Engage in internal and external inspections related to SEC audit engagements. Formulate and uphold firm positions and guidance concerning SEC and other regulatory bodies, including registered and exempt client offerings. Oversee the design and delivery of training programs related to SEC regulatory matters, both internally and externally. Ensure that relevant sections of our manuals are current, accurate, and comprehensive regarding SEC regulatory matters. Serve as a resource to the Office of General Counsel and Audit Incident Response as a recognized SEC expert.

Leadership and Collaboration

Provide leadership and direction within the National Office to support the strategic direction of the SEC practice within the Audit line of business. Actively engage with the National Professional Standards Group (NPSG), NORM, and the National SEC Practice Leader to enhance National Office services to engagement teams and clients. Utilize a comprehensive understanding of the firm's key business processes to anticipate and address long-term implications of decisions and actions.

Client Engagement

Act as a Subject Matter Expert for SEC regulations, both internally and externally. Consult with engagement teams and Technical Industry Leaders on complex SEC-related accounting, auditing, independence, and risk management issues. Oversee the client acceptance and continuance process for SEC engagements. Manage the SEC partner rotation, firm’s form AP filings, and PCAOB data requests related to our SEC practice list.

Risk Management

Review potential SEC registrants' client acceptance and continuance decisions as required by our risk management policies. Support NORM regarding client acceptance tools for SEC regulatory matters, including exempt offerings for non-registrants. Assist engagement leaders with SEC examination inquiries and comment letters. Chair the SEC Client Acceptance and Reevaluation Committee (SECCAR). Collaborate with NORM on internal, peer review, PCAOB, and other regulatory inspections, including assisting with written responses as necessary.

Talent Development

Establish strategies for recruiting, developing, and retaining SEC-skilled professionals to ensure high-quality client service on SEC engagements. Work closely with Assurance operations leaders to ensure appropriate staffing on SEC engagements. Promote a positive and proactive work environment that emphasizes respect for individuals, high standards of quality, innovation, and teamwork. Facilitate ongoing learning, well-being, professional satisfaction, and development of staff through training, work assignments, increased responsibility, and mentoring.

Required Qualifications:

A minimum of 15 years of experience in a National CPA Firm within the Assurance practice or as a regulator, such as with the SEC/PCAOB. Bachelor’s degree in accounting is required; a Master’s degree is preferred. Certified Public Accountant designation is required. Extensive knowledge of Accounting and Auditing Standards and SEC and PCAOB regulations. Ability to effectively engage with regulators. Demonstrated leadership in fostering a positive organizational culture. Exceptional client service attitude, outstanding interpersonal skills, and a proactive approach to collaboration. Excellent verbal and written communication abilities. Proven organizational planning and analytical skills. Ability to manage multiple projects and assignments simultaneously. Recognized as an expert within the firm, sought after for deep functional and technical expertise. Displays executive presence in professional interactions.

At RSM, we provide a competitive benefits and compensation package for all our employees. We are committed to supporting your well-being through personalized programming for your physical, emotional, financial, and community health. Our generous time-off policy includes at least 14 paid holidays and flexible scheduling options to help you balance personal and professional commitments.

RSM is proud to be an Affirmative Action and Equal Employment Opportunity employer. We are dedicated to providing our employees with the resources they need to succeed in achieving both personal and professional goals in an environment free from discrimination and harassment.

We are committed to providing equal opportunity and reasonable accommodation for individuals with disabilities throughout the recruitment process and employment.

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