Risk and Regulatory Compliance Associate

The Office of Risk Management (ORM) supports the development and implementation of programs, policies, and practices to manage RSM’s Risk and Regulatory Compliance. The Risk and Regulatory Compliance Associate is responsible for assisting with monitoring compliance with various firm policies such as Anti-money laundering (AML), Licencing, Continuing Professional Development (CPD), and CPA regulations and by-laws. This includes oversight of professional memberships, public accounting licensing, CPD requirements, and other regulatory obligations to ensure compliance with firm policies and applicable regulatory bodies.

Responsibilities:

• Drive compliance with RSM policies and regulatory requirements by leveraging firm compliance tools and providing guidance on firm policies and regulatory requirements. Review and approve the timely submission of CPA and other regulatory licenses submitted by firm personnel.
• Manage and respond to inquiries from firm personnel regarding compliance matters relating to firm policy and/or applicable regulatory bodies. Ensure timely communication and maintain clear documentation for compliance purposes.
• Assist with RSM business licensure & annual filings to ensure completeness and accuracy of the data, including performing related research, data gathering and reconciliation.
• Assist with completing firm licensure applications and maintaining the related SharePoint site to ensure the firm’s business licenses remain current across all jurisdictions in which the firm operates.
• Collaborate with members of the Regulatory Risk and Compliance team, Talent Development and Management, and other firm personnel of various RSM member firms to support these responsibilities.
• Support the AML process through accurate monitoring, communication and reporting in alignment with the firm's AML policy and requirements.
• Provide support for ad hoc requests relating to enterprise risk and regulatory compliance activities in collaboration with various RSM member firms.

Required Qualifications:

• Strong proficiency with Microsoft Excel.
• Bachelor’s degree in accounting, commerce, business administration, or comparable education.
• Minimum of 1-3 years of experience in a regulatory compliance role and/or as a project coordinator.
• Excellent written and verbal communication skills with the ability to articulate ideas clearly and concisely and communicate effectively with diverse audiences, including internal stakeholders and regulatory bodies.
• Strong organization skills and work ethic, demonstrated by delivering high quality work in a timely manner, while effectively managing and prioritizing multiple projects.
• Ability to read, interpret, and apply rules, regulations, policies and procedures, as well as evaluate information against a set of standards.
• Strong attention to detail with excellent proofreading skills.
• Comfortable working in a fast-paced environment, both independently and collaboratively within a team.
• Skilled at consolidating information and performing research using available tools and resources.
• Ability to maintain confidentiality and exercise discretion with sensitive internal information.
• Capable of identifying issues and escalating appropriately when needed.
• Strong relationship-building skills to develop and maintain professional and internal networks and resources.
• Proactive in identifying and implementing process improvements.

Preferred Qualifications:

• Fluency in French.
• Experience and knowledge in Canadian Anti-Money Laundering (AML) compliance.
• Previous compliance experience in a professional services environment.
• Experience with ServiceNow or other similar intake system.
• Proficiency with Alteryx, Power Query or Power BI skills.