Internal Audit Associate 1

The Office of Risk Management (ORM) supports the implementation of programs, policies, and practices to manage RSM (or Firm) US risk.

The Internal Audit Associate is responsible for assisting with the monitoring of compliance with firm policy and industry regulations regarding all business functions including ORM, line of business (LOB) and key department processes and control activities. Responsibilities include supporting all aspects of the internal audit process including planning, fieldwork and reporting.

Works closely with other members of the Internal Audit team, ORM, the LOB and key departments with respect to achieving these responsibilities. Note this role is not client facing.

Essential Duties

• Developing an understanding of the RSM internal audit approach and tools
• Assists with internal audit efforts through routine monitoring of business functions indicating compliance with key control activities. Includes accurate and timely communication of results, sending related deficiency notices, and other related internal audit tasks.
• Performs routinely scheduled and ad-hoc monitoring activities and assists with development of project timelines. Communicates project status and achievement of key milestones.
• Collaborates with ORM, LOB and department process owners to help achieve compliance with key control activities and regulatory requirements.
• Performs interviews of process owners to gain an understanding of functions being monitored and ensure process flows, standard operating procedures and checklists, and risk and control matrices are current. Collaborates with process owners to understand cause and effect for issues encountered to drive the business to continually understand risks and assess processes.
• Assists with organization of Internal Audit working files sufficient to maintain thorough documentation, relevant evidence and tracking of monitoring efforts, and to ensure compliance with email and document retention policies. Assists with annual audit planning and quarterly reporting.
• Works with Internal Audit or other ORM teams on projects including emerging risks, abstraction of key data, process understandings, research, reporting, and other related tasks.
• Other duties as assigned

EDUCATION/CERTIFICATIONS

Bachelors degree or equivalent experience REQUIRED

TECHNICAL/SOFT SKILLS

• Proficiency with Microsoft Office (Excel, Word, Outlook) REQUIRED
• Ability to learn audit tools for audit documentation and workflow management REQUIRED
• Ability to read and apply rules, regulations, policies and procedures - REQUIRED
• Ability to evaluate information against a set of standards - REQUIRED
• Ability to understand and ensure compliance with firm, line of business and departmental policies and procedures. - REQUIRED
• Ability to communicate information clearly and concisely, verbally and in writing to diverse audiences across the firm. - REQUIRED
• Ability to develop and maintain applicable professional and internal contacts, resources and networks REQUIRED
• Ability to maintain confidentiality and discretion with respect to internal information REQUIRED
• Exhibit high attention to detail, strong analytical skills, and ability to ask high-value questions. REQUIRED