Risk and Regulatory Compliance Manager

RSM Canada is seeking a Risk and Regulatory Compliance Manager to join our Office of Risk Management (ORM) team in Independence, Compliance & Ethics (ICE). ICE - ORM supports the implementation of programs, policies, and practices to manage RSM Canada’s Independence, Ethics, Risk and Regulatory Compliance.

The Risk and Regulatory Compliance Manager leads the Regulatory Compliance team in tracking, maintaining & improving continuing professional education (CPE) compliance, CPA licensure, firm business licensing, outside employment and business activity processes and the Anti-Money Laundering requirements, as well as other ad-hoc internal monitoring functions. The manager leads collaboration with various departments within RSM Canada and RSM US to achieve consistent compliance with firm policy and regulatory requirements, and helps to direct and prioritize the work of the Regulatory Compliance senior and staff with respect to achieving the responsibilities. The manager facilitates the various compliance processes and supports the QCIC process. The Risk and Regulatory Compliance Manager will work with the Government & Regulatory Risk Director, performing research and assisting on special projects, as needed.

Responsibilities:

• Ensure the Firm compliance with the Various provincial CPA regulatory body licencing and membership including preparation and submission of annual firm filings, updating firm policies relating to regulatory compliance, FAQ documents, document, and data processing, monitoring of data privacy and other applicable research as needed

• Understand firm license application and renewal process, CPD compliance process, and various provincial CPA licensing processes and help ensure compliance is achieved in these areas. .Seeks continuous improvement in the process to ensure a good talent experience for firm personnel regarding regulatory compliance

• Assists the AML/ATF compliance program, developing compliance procedures and training. Perform other ad hoc requests including acquisition activity, research, reporting, development of compliance tools and guidance and other tasks. Helps prioritize and direct the regulatory compliance team’s related activities.

• Managerial oversight of the risk & compliance team of professionals, serving as the career advisor to the Risk & Compliance Senior Associate and supporting the career advising of the team

• Understands and acts as the regulatory risk SME for the firm’s authoritative systems that pertain to regulatory compliance and reporting (e.g., Micron, Cornerstone, PeopleSoft, etc.)

• Manages workflow and process with respect to compliance with firm policy including areas such as QCIC, Outside Employment and Business Activities and other areas as assigned. Ensures corrective actions directed by the QCIC are populated in the Audit Corrective Action and Restrictions Database and provides timely reporting thereon. Provides timely reporting on waiver request process for business employment and outside activities for Risk Oversight Committee meetings

• Other ad hoc projects, as assigned

Required Qualifications:

• Bachelor’s degree in accounting, commerce, business administration or comparable (law degree preferred)

• Minimum of 5 years of proven and progressive experience in a professional services firm (operations, audit, tax, compliance, or legal management)

• Experience with performing research and proposing solutions

• Internal audit experience

• Ability to communicate and present information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts

• Ability to maintain confidentiality and discretion with respect to internal information

• Excellent conflict resolution skills

• Strong research skills with ability to interpret and apply various regulations and organizational policy

• Demonstrated ability to identify and recommend process improvements and efficiencies

• Solid proficiency in Microsoft Office & SharePoint

Preferred Qualifications:

• Knowledge of the regulated professional services environment and ability to recognize the potential impact of changes to the regulatory environment to Firm processes and personnel

• Strong knowledge and understanding of Canada AML/ATF regulations

• Knowledge of provincial CPA licensure and firm licensing requirements

• Thorough understanding of provincial CPA CPD rules

• Ability to develop and maintain applicable professional and internal contacts, resources, and networks

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. Learn more about our total rewards at https://rsmcanada.com/careers/life-at-rsm/rewards-and-benefits.html

Compensation Range: $90,500 - $136,000