As a supervisor in RSM’s growing Process Risk and Controls Practice, you will have the opportunity to draw from your experience and knowledge while continuing to grow your leadership skills through a high degree of client and financial services industry exposure, career development and mentorship opportunities, and a diverse and inclusive culture. The fast-paced and dynamic environment in which we operate will provide you with daily challenges and exciting opportunities.

In the Process Risk and Controls Practice we frequently work as or alongside a client’s internal audit function, the chief risk officer or risk function, Sarbanes-Oxley project team, and various other members of management tasked with managing risk. Our advisors help our clients with identifying and prioritizing risk and leveraging process and controls to reduce risk exposure.

Key Responsibilities

Contributions to Firm Culture

• Model the core RSM values of respect, integrity, teamwork, excellence and stewardship in all interactions with clients and team members

• Lead teams in identifying out of the box solutions to complex issues.  Encourage innovative thinking from seniors and associates

• Support RSM’s goals around diversity and inclusion by nurturing an environment that understands individuality, promotes authenticity, and values varied perspective in arriving at solutions

Client Experience

• Learn about the industries and clients that we serve in the middle market and leverage your understanding to become your clients’ trusted advisor

• Identify current and relevant financial services industry thought leadership and incorporate this into client service

• Independently implement and coach others on foundational industry policies, procedures, and work-programs

• Own process level client relationships and collaboration with external stakeholders

• Lead risk assessment management interviews and internal audit plan development

• Draft test plans or work programs for review by senior members of the team

• Create/review narratives or flowcharts for a process

• Identify and review all risks and controls for a process as needed

• Perform review of staff work for accuracy, completeness, and well-reasoned conclusions

• Manage budgets and provide accurate analysis of estimates to complete to engagement leader

• Prepare deliverable drafts

• Master and accurately explain or apply the following: IIA Professional Standards, Internal Methodology, Industry specific guidelines/requirements (as applicable), COSO 2013

• Have the ability to support multiple client projects simultaneously, while actively contributing to other firm initiatives

• Participate in relevant industry associations and events to develop and/or maintain industry focus and relationships

Talent Experience

• Encourage colleagues to think creatively, strive for growth through development opportunities, and maximize results while working within a team environment

• Proactively seek out opportunities to learn from or teach team members, build a coaching/mentoring network and take advantage of training opportunities to continually expand skills and demonstrate leadership capability

• Maintain willingness to give and receive candid feedback in both written and verbal form. Commit to self-development in response to constructive feedback received.

• Provide assistance, guidance, mentoring and feedback to staff assigned to work with you

• Support recruiting efforts by understanding and promoting the RSM brand and developing the ability to accurately assess talent

Business Development

• Actively participate in relevant industry associations and events

• Demonstrate industry understanding and provide thought leadership to clients and prospects

• Build an internal network and actively demonstrate familiarity with other services provided by the firm

• Contribute to new pursuits by teaming and developing proposals and other materials

• Identify new client opportunities or surface ideas for introducing others to existing client relationships

Required Qualifications

• Bachelor’s or Master’s Degree in business, accounting or related discipline.

• Minimum of 4 years of experience working in a financial services, consulting, or regulatory agency, with a focus on internal audit, model validation, or controls testing.

Desired Qualifications

• Proficiency in professional writing, spreadsheet, and presentation creation tools

• Ability to lead and mentor junior team members, providing guidance and support.

• In-depth knowledge of due diligence processes, internal controls, and risk management for various financial products (e.g., automotive loans, CLOs, credit cards, trade receivables, personal loans, equipment lease financing).

• Strong client relationship management skills, acting as a trusted advisor to clients.

• Understanding of regulatory requirements and compliance processes.

• Experience in conducting and reviewing lender field examinations, internal and external audits, ensuring adherence to policies and procedures.

• Participate in business development activities, including industry associations and networking events.

• Job relevant certification preferred (e.g. CIA)

• Openness to workday flexibility, agility, remote work environment, leveraging new tools

• Effective communication skills, both verbally and in writing

• Effective time management and prioritization skills

• Established experience in multiple industries or subject-matter expertise in one specific industry