Independence Senior Associate

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 applying professional standards, regulatory requirements, or Firm policies - required • Experience managing multiple assignments, deadlines, and stakeholders - required • Experience applying AICPA or SEC independence requirements - preferred • Experience with private equity structures, including funds, portfolio companies, ownership, and affiliates - preferred • Exposure to independence searches, consultations, affiliate analyses, capital markets, or complex organizational structures - preferred • Experience with data analysis, reconciliation, workflow tracking, or entity management systems - preferred Leadership Skills • Business Awareness: Understands the impact of regulatory and independence requirements on business and client relationships. Required • Customer Focus: Anticipates stakeholder needs and provides timely, collaborative support. Required • Learning Agility: Ability to build technical knowledge and judgement, applies feedback, adapts to change and demonstrates readiness for broader view. Required At RSM, we offer a competitive benefits and compensation package for all our people. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits. We believe flexibility and in-person connection both play an important role in how we work and grow. Most roles at RSM follow a hybrid workstyle, which means team members are aligned to an RSM office and come together in person when it best supports clients, teams, development or relationship-building. Some roles may be virtual or primarily on-site based on role requirements, team priorities and client needs. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $77,700 - $128,200 Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.