Controls Assurance Associate Director ISAE & AAF

As one of the world's largest networks of audit, tax and consulting firms, RSM delivers big ideas and premium service to help middle‑market businesses thrive. We are a fast‑growing firm with big ambitions – we have a clear goal to become the premium adviser to the middle market, globally. This vision touches everything we do, motivating and inspiring us to become better every day. If you are looking for a firm where you can build a future and make an impact, then RSM is the place for you.

Consulting brings together multiple teams across Transactions, Risk & Consulting, ABA, and Outsourcing to provide client‑centric solutions for RSM’s current and future clients within the middle market. Our Consulting team has a major role to play in driving forward the growth of the firm with over 1,700 people delivering almost £200m revenue. At the heart of Consulting are the six solutions we offer our clients: business transformation, deal services, finance function support, risk and governance, forensic and investigation services, and restructuring. Our solutions create an enhanced tailored approach to support our clients in achieving their strategic goals and empower our people to make an impact and develop their own unique career path.

Role overview

Responsible for leading and undertaking a range of complex and specialist internal controls engagements including US SOX, other ICoFR and Service Auditor reporting (under ISAE3402 and AAF standards). Responsible for managing the delivery of controls documentation and testing at client’s sites, in accordance with RSM methodologies and relevant standards. Managing a team and working as an individual to deliver high quality Internal Controls assignments within required timescales and budgets. Working with the leadership team to grow the internal controls client base and high quality team.

Brief Job description

• Build strong relationships with key stakeholders across RSM, the risk & governance service line, and a wide variety of clients.
• Manage, perform, and quality control internal controls assignments embracing assignment planning programming, conduct and control of audit work, reporting findings, liaising with clients, and meeting relevant standards.
• Understand the key risks and the controls put in place to address those risks within each area of an internal controls assignment.
• Draft internal controls assignment planning documents for approval / review by Client / Partners.
• Active involvement in the delivery of engagements for more complex and specialist areas.
• Overseeing the preparation of process flows and controls documentation.
• Undertake review work in respect of significant findings.
• Assist Partners in ensuring that assignments are completed to time and budget.
• Prepare draft internal controls reports and working paper files to high quality standards and within the SLA on allocated assignments, adding value and good practice.
• Lead and supervise more junior staff on individual assignments including staff motivation, discipline and technical audit guidance.
• Provide job training and guidance for auditors and training for more junior auditors.
• Assess the performance of team members and provide feedback.
• Participate in RSM’s appraisal and development process.
• Be aware of and advise Partners of any potential additional work opportunities at existing clients.
• Work with Partners and the leadership team in market related activities and growth of client portfolio.
• Work with Partners in producing proposals in response to RFPs and enquiries.
• Ensure familiar with and comply with all RSM’s policies.
• Any other duties as required.

Technical skills

• Good technical knowledge of the internal controls standards (e.g. AAF, ISAE, SOX etc), internal controls documentation and testing, and individual subjects and sector issues relevant to the work.
• Previous experience of SOX (or equivalent) implementation.
• Previous experience of delivering readiness and type 1 controls assurance reporting engagements (under ISAE and AAF standards).
• Experience working with large global organisations.
• Ability to review and control technical content of work of others to ensure compliance with relevant standards and quality requirements.
• Provide technical support as required to team members.
• Understand the range of additional services that the firm can provide to meet clients’ needs.
• Identification and pro‑active management of own technical training and development needs.

Communication (oral, electronic, written)

• Oral – able to express ideas and information with clarity and confidence, especially when communicating with clients.
• Good working relationship with clients to understand their needs and requirements.
• Relay appropriate and timely information in respect of assignments to others.
• Listening – demonstrate the ability to listen, evaluate and apply information gained.
• Written – prepare draft reports and technical working papers.
• Excellent attention to detail.
• Gain confidence and respect of colleagues and clients.
• Share own experience and expertise with others.
• Encourage teamwork and develop leadership skills.

Commitment / Attitude to work

• Take responsibility for resolving issues by either dealing with it personally or referring upwards where required.
• Take responsibility for self‑development.
• Be able to train, coach, and develop team members and provide support to other staff as required.
• Show enthusiasm and self‑motivation to provide excellent service.
• Show respect for others by listening to their views and suggestions.
• Be a team player by putting the team's needs before your own.
• Be pro‑active and demonstrate a commitment to continuous improvement, such as raising queries, and challenging existing practices.
• Ability to be flexible when managing inconsistent and varying workloads.

Other

The post holder will be expected to travel to client’s sites in their own time. Overnight stays away from home may be necessary. Access to a car and full Driving Licence preferred.

Qualifications

A relevant professional qualification e.g. ACA, ACCA, IIA or CIMA.

Diversity and Inclusion at RSM

At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client's needs. Diverse teams bring a broader range of ideas and insights to work. That’s why we’re working together to ensure our firm’s principles and processes support a firm culture that embraces difference and strengthens inclusion.