Supervisor – Risk Consulting (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.

The Position

As a Supervisor in RSM’s growing Financial Services Risk Consulting 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 Financial Services Risk, Compliance, and Internal Audit Practice we frequently work as or alongside a client’s internal audit function, the chief risk officer or risk function, Sarbanes-Oxley project team, lender field examination teams 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
• Maintain a positive attitude and a strong work ethic
• Conduct yourself in a professional manner
• Work collaboratively with others and show an interest in learning from more experienced 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.
• 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
• Manage budgets and provide accurate analysis of estimates to complete to engagement leader·      
• lead portfolio due diligence on proposed and existing financing transactions, evaluating borrower financial information, underlying assets, credit quality, and key transaction risks.
• Review and complete status documents for client delivery.
• Prepares initial draft of reports·      
• Develop the ability to support multiple client projects simultaneously, while actively contributing to other firm initiatives

Client Experience

• Learn about the financial services industry and clients that we serve in the middle and upper market and leverage your understanding to become your clients’ trusted advisor
• Interact with client process owners and external stakeholders while executing your role
• Demonstrate critical thinking skill in gathering and processing information about a client’s business, strategy, culture, competitive positioning, and operations in order to assist with risk assessment
• Exhibit basic knowledge of key 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
• 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 7 years of experience in audit, internal audit, or related internal control positions
  

Preferred Qualifications

• • Proficiency in professional writing, spreadsheet, and presentation creation tools. Exposure to data analytics tools is preferred
  • 6 years of experience working for a capital markets, asset management or specialty lending institution, consulting firm, or regulatory agency, in internal audit, model validation, or controls testing.
  • 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

About RSM

RSM’s vision is to be the first-choice advisor to middle market leaders globally. You will work directly with clients, key decision makers and business owners across various industries and geographies to deliver a top quality client experience. RSM is a diverse and inclusive place where you will work as part of a team while being valued as an individual, mentored as a future leader, and recognized for your accomplishments.

At RSM, we offer a competitive benefits and compensation package for all our people. 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 https://rsmus.com/careers/india.html.  

RSM does not tolerate discrimination and/or harassment based on race; colour; 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 Indian Armed Forces; Indian Armed Forces Veterans, and Indian Armed Forces Personnel status; pre-disposing genetic characteristics or any other characteristic protected under applicable provincial employment legislation.  

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 send us an email at [email protected].