Consulting Director - RAS - Service Organization Assurance

  • Company: RSM US LLP
  • Location: New York, New York
  • Posted: June 21, 2018
  • Reference ID: RSM538

The Director - Risk Advisory Services - Service Organization Assurance will be responsible for the following services:

  • SOC 1 reports
  • SOC 2 reports
  • SOC 3 reports
  • SOC Readiness Reviews reports
  • AT101 Reports

The Director will be responsible for overseeing SOA engagements including assisting associates in planning engagements, scheduling fieldwork, discussing findings and observations during client exit meetings, review of work papers to support conclusions, and preparing written attestation reports. The position will also include client service management such as advice on internal control approaches, best practices and helping clients deal with routine issues. The candidate should have a strong knowledge-level of financial and operational internal controls, identifying risks and related controls, as well as performing test work of identified significant controls. The candidate should also be capable of conducting audit and attestation engagements independently and leading an engagement team.  A strong financial services industry background is required. This professional may reside in any of the following locations: New York, NY, Boston, MA or Philadelphia, PA. 

Organization Relationships: 

  • The Director of SOA will perform the following responsibilities:
  • Work closely with the other service line leaders to implement the business plans and achieve its goals, identify synergistic services and to implement the appropriate strategies to integrate these services
  • Work closely with National Professional Standards Group in fulfillment of firm and industry quality requirements
  • Work closely with the National Office of Risk Management in fulfillment of Interoffice Inspections, Peer Reviews, and due diligence assessments
  • Support the national consulting line of business and the national assurance line of business in fulfillment of their client-related responsibilities

 Major Duties and Responsibilities:

  • Ensure the delivery of high-quality SOA deliverables and compliance with quality assurance and independence policies
  • Provide subject matter expertise on financial services clients in the Northeast region
  • Work closely with the Northeast Regional SOA Leader to grow the practice and adhere to firm methodology
  • Achieve individual charge hours, growth goals and other balance scorecard key targets annually
    This includes providing client engagement sales scoping and planning assistance and counsel to SOA service line personnel on high-risk and complex engagements
  • Design, plan and administer the service line professional development and learning programs to ensure personnel are appropriately trained to participate in the delivery the SOA services
  • Provide ongoing and consistent communication on the status of SOA service line operations and create a positive message about the service line
  • Anticipate and evaluate changes in the SOA service line market environment and update philosophy, policies, products and practices as necessary
  • Help determine the staffing requirements for the service line and assist in the recruiting process
  • Consistently perform required activities to develop future leaders, retain a qualified workforce and support its initiatives. This includes evaluating the performance of personnel reporting directly to this position and leading the performance management process for all employees within the SOC service line

 Methods of Accountability:

  • Various oral and written reports to the Northeast Regional SOA Leader and the New York, Boston and Philadelphia
  • Leaders of Risk Advisory Services
  • Timely completion of client work, special projects, business planning and personnel requirements
  • Positive results of Peer Reviews and Interoffice Inspections
  • Achievement of scorecard results
  • Timely and effective implementation of Firm and/or service line programs and initiatives

 Standards of Performance:

  • Achievement of three-year annual growth and profit plan and other key performance expectations for the SOA service line
  • Achievement of the scorecard targets for the SOA service line and individually
  • Effectively working with the Northeast Region SOA Leader and the New York, Boston and Philadelphia Risk Advisory
  • Services leaders to achieve the goals and objectives of the business unit and service line
  • Creation and maintenance of an environment where our people are highly motivated, well informed, produce a consistently high-quality delivery and are proud to be part of the SOA service line

 Basic Qualifications:

  • Bachelor's degree
  • CPA
  • 10+ Years of SAS 70/SOC engagement experience or equivalent attestation/assurance controls experience
  • Minimum of 10+ years experience with audit and attestation engagements
  • Detailed knowledge of AICPA standards including SSAE 16, AT 101 and AT 801.
  • Experience delivering services to the financial services industry
  • Ability to travel 25%
  • Excellent project management and time management skills
  • Excellent verbal and written communication skills
  • Excellent analytical skills and knowledge of internal controls

Preferred Qualifications

  • Knowledge of security frameworks such as ISO 27001, PCI, and CobiT.
  • Professional services/Public Accounting or Consulting experience

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