Sr. Associate - Process Risk and Controls, (Financial Services)

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.

Risk Consulting Senior Associate Process Risk and Controls Solutions (Financial Services Industry)

The Position

As a senior associate 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
• Be open to new ideas and challenges, and help foster a culture that encourages people to ask questions, seek diverse perspectives, and challenge those around you
• Develop executive presence through interactions with management within RSM and our clients
• Develop meaningful relationships with client personnel and colleagues
• 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
• Exhibit basic knowledge of key financial services industry fundamentals, regulatory environment, and terminology
• Identify current and relevant industry thought leadership and share with clients as relevant
• Independently implements and coaches associates on foundational industry policies, procedures, and work-programs
• Owns process level client relationships and collaboration with external stakeholders
• Prepare / Review initial drafts and follow-ups on client request lists
• Participate in risk assessment management interviews. Update risk assessment models and complete initial draft of identified risks
• Prepare and conduct tests of the operating effectiveness of clients’ internal controls
• 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 first level review of staff work for accuracy, completeness, and well-reasoned conclusions
• Manage budgets and provide accurate analysis of estimates to complete to engagement leader
• Review and complete status documents for client delivery
• Prepares initial draft of reports
• Understands and can provide guidance to staff over topics such as IIA Professional Standards, industry guidelines, COSO 2013, and SOX
• Develop the ability to support multiple client projects simultaneously, while actively contributing to other firm initiatives

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 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, and feedback to associates assigned to work with you
• Support recruiting efforts by understanding and promoting the RSM brand

Business Development

• Participate in relevant industry associations and learning / development events to build industry perspective and contacts
• Gain knowledge of key fundamentals, regulatory environment, and terminology for your relevant industries
• Build an internal network and become aware of other services provided by the firm

Position Qualifications

• Bachelor’s or Master’s Degree in Accounting or related business discipline
• Minimum of 2 years of experience working in the financial services industry in audit, internal audit, or related internal control positions
• Proficiency in professional writing, spreadsheet, and presentation creation tools. Exposure to data analytics tools is preferred
• Qualified to pursue a job-relevant certification (e.g. CPA, CIA)
• Ability to travel to meet client needs and work collaboratively with others in-person and remotely
• 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

At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your wellbeing by delivering personalized, holistic programming for your physical, emotional, financial and community wellbeing.

Learn more about our total rewards at

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