Audit Manager - Capital Markets/Broker Dealer

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.

RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm.

Our Capital Markets practice is nationally integrated and operates across geographies as a part of the firm’s Financial Markets assurance service line.

RSM is one of the largest assurance firms serving broker dealers across the nation

Responsibilities :

• Provide timely, high quality client service that meets or exceeds client expectations including coordinating the auditing of all required financial statements, related disclosures, and other client deliverables
• Provide timely, high quality client service that meets or exceeds client expectations including coordinating the auditing of all required financial statements, related disclosures, and other client deliverables
• Assess risk along with design and communicate audit procedures to engagement teams
• Understand and utilize RSM’s Audit Methodology
• Manage multiple engagement teams and prepare end-of-engagement evaluations for staff
• Understand skillsets and capabilities of Senior Associates and Supervisors and monitor and review work product that they prepare and report on performance while articulating coaching notes throughout the process
• Supervise Audit Seniors and Supervisors on engagement teams and function as an in-charge facilitating field work by monitoring and reporting regarding productivity and adherence to work plan schedules on each assignment
• Maintain contact with clients throughout the year to understand impact of significant developments in client’s business and assess impact on current year audit engagements
• Develop others within the Firm through facilitating levels based or industry training, advising on career development or participating in other Firm initiatives
• Subscribe to and actively read industry publications and share relevant information with clients as considered applicable
• Anticipate and address client concerns and escalate issues as they arise
• Understand RSM’s lines of businesses, availability of services and where applicable, discuss with client management of opportunities to make valuable introductions to others in the firm
• Develop a strategy to utilize relationships external to the firm with different types of Centers of Influence to effectuate business growth
• Manage profitability of projects
• Identify and communicate accounting and auditing matters to Senior Managers and Partners
• Identify performance improvement opportunities
• Ensure professional development through ongoing education
• Keep abreast of latest developments as they affect GAAP and the Firm’s standards and policies
• Willingness to travel 25% of the year, depending on your clients

Required Qualifications :

• BS / BA Degree in Accounting or equivalent degree
• CPA or CA Certification
• 5+ years of current or recent experience in a public accounting environment
• Experience leading teams and mentoring associates
• Understanding of audit services with knowledge of GAAP, GAAS and FASB or IFRS regulations
• A proven record of building profitable, sustainable client relationships
• Minimum of 4 years of team lead or in-charge experience overseeing staff on multiple engagements

Preferred Qualifications :

A successful record of directing and deploying staff and senior associates on multiple, simultaneous engagement

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.

RSM has a generous time off policy with at least 14 paid holidays, wellbeing days and associate and above access to self-managed time off.

We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients.

Learn more about our total rewards at .

RSM is proud to be an Affirmative Action and Equal Employment Opportunity employer. We are proud to provide our employees with tools to assist them in being successful in achieving both personal and professional goals.

• We welcome and support all our employees to thrive in an environment free of discrimination and harassment. As an Affirmative Action and Equal Opportunity Employer all applicants will receive consideration for employment as RSM does not tolerate discrimination and / or harassment based on race;
• color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing);
• gender (including gender identity and / or gender expression); sexual orientation; HIV Status; national origin; ancestry;
• familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave);

domestic violence victim status; past, current or prospective service in the US uniformed service; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and / or employment / partnership.

RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at .

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders).

However, those candidates who may be recent U.S. college / university graduates possessing 1-2 years of progressive and relevant work experience, excluding internships, in the U.

S. or his / her home country would be eligible for hire as an experienced candidate and thus eligible for sponsorship.

Compensation Range : $80,600 - $175,400