Analyst - Research - Independence & Ethics Compliance

Level: ICS Analyst

GT US (National Professional Standards Group) - Independence & Ethics Compliance / Relationship Checks team

Working under the direct supervision of the GT US RCS Director, the individual will be responsible for performing family tree research on various affiliate relationships, assisting with updating various databases, monitoring research mailboxes, communications with engagement teams as it relates to the research performed, and reconciling the research data to other source data. Details include:

Responsibilities:

Family Tree Researcher

Perform research for related entities and affiliates of existing and proposed new attest and non-attest clients including business relationship entities by using publicly available resources to be used in analysis of and identification of independence issues:

o Researching and review all family trees for conflict checks for all US lines of business for import into template

o Performing research and review for US employee benefit plan relationships, potential acquisition targets (prospective clients)

o Maintaining updated family trees on all SEC audit clients with Google/Factiva s

o Maintaining private equity groups family tree maintenance

o Performing investment adviser (Form ADV) research and broker-dealer research (FINRA) and review.

o Manipulate and decipher family tree structures that are pulled from Bureau Van Dijk (BvD).

Work collaboratively with other members of the GT INDUS team and the GTUS ethics and engagement teams to ensure that researched information is accurate and timely.

Reconciliation of various GTUS restricted and client lists with global list

Perform certain activities related to the Monitored PEG program

Assist in reviewing the daily incoming working activity and maintaining the Assignment Log

Assist audit and non-audit engagement teams with inquiries regarding research or the relationship check process

Monitor independence inboxes either as the primary monitor or as a back-up

Assist with special projects, as needed

Research Admin

Act as a bridge between INDUS & US on admin tasks.

Monitoring Research team mailbox.

Prepare Assignment Sheet (AS log) for research team.

Respond to inquiries and maintain a high-level Engagement Team (ET) service & internal communication.

Comprehend and act upon responses received from ET in a timely manner.

Participate in meetings and discussions and implement best practices.

Communicate with all levels of management at INDUS & US.

Work on Ad hoc assignments as needed.

Monitoring Private Equity segment which includes comparison, check creation on RCS & template creation.

Bachelor s degree or advanced degree in accounting, business, or analytical discipline

Experience in client services industry and/or with another large accounting firm is a plus but not required

Prior experience in working in an independence and ethics compliance functions or in global family tree research centers a plus but not required

Technical proficiency with computer technology, including databases

Strong analytical or research capabilities with excellent problem-solving skills

Ability to execute instructions and detail orientated

Excellent verbal, written and interpersonal communication skills

Writing, editing, or proofreading experience

Ability to effectively multitask in a demanding and deadline-driven environment

Flexibility and ability to prioritize tasks

Ability to interface well with all levels of personnel and strong team player

Ability to work independently once trained

Ability/Discipline to work from home

Ability to make judgement calls for unique situations based on existing knowledge, guidance and or processes

Ability to work off-hours, if needed, including some holidays