Risk and Regulatory Compliance Associate

4 weeks ago

Toronto, Canada RSM US LLP Full time

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.

**Responsibilities**:

- Accurately tracking, communicating, and responding to inquiries from firm personnel regarding AML, CPD, CPA membership & public accounting licenses
- Assisting with RSM business licensure & annual filings, and performing research
- Facilitates collaboration with other members of the Regulatory Risk and Compliance team, Talent Development and Management, and other firm personnel with respect to these responsibilities
- Supports the AML process through accurate monitoring, communication and reporting of with firm AML policy and reporting
- Drives compliance with RSM policies and regulatory requirements using firm compliance tools and through communication of compliance with CPD requirements and CPA license requirements. Reviews and approves the timely submission of CPA and other regulatory licenses by firm personnel.
- Supports the Regulatory Compliance team with other ad hoc requests including acquisition activity, reporting, and other compliance tasks.

**Required Qualifications**:

- Bachelor’s degree in accounting, commerce, business administration, or comparable education (law degree preferred)
- Minimum of 1-3 years of experience in a regulatory compliance and/or project coordinator role
- Strong written and verbal communication skills; ability to articulate clearly and concisely and present effectively to diverse audiences across the firm and to outside professional contacts
- Strong organization skills and work ethic by delivering high quality work in a timely manner, while effectively managing and prioritizing multiple projects
- Proficiency with Microsoft Office (Excel, Word, Outlook, PowerQuery and Power Bi) and SharePoint
- Exhibit high attention to detail and strong proofreading skills
- Comfortable executing in a fast-paced environment, working both independently and collaboratively within a team
- Ability to consolidate details and perform research using available tools and resources
- Ability to maintain confidentiality and discretion with respect to internal information
- Ability to identify issues and escalate as needed
- Ability to develop and maintain applicable professional and internal contacts, resources and networks
- Identify and implement process improvements

**Preferred Qualifications**:

- Experience and knowledge in Canadian Anti-Money Laundering compliance
- Previous compliance experience in a professional services environment
- Experience with CPD tracking software
- Experience with ServiceNow or other intake system

Compensation Range: $57,500 - $87,000

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