Compliance Independence Manager

The Compliance Independence Manager works closely with firm leadership to develop, implement, and manage independence and ethics compliance procedures. You will provide internal advice to our professional service teams on maintaining independent standards and managing risk and compliance matters. The role focuses on ensuring adherence to policies, overseeing compliance monitoring, and contributing to the firm's overall risk management strategy.
* Main Accountabilities:
• Lead Independence Consultations with compliance firm's procedures and policies
• Monitor Independence and Ethics Compliance procedures
• Monitor and control Independence and Ethics via Firm's Client Acceptance procedure
• Consult with Partners and/or Professional Service Teams in the application of independence standards to a particular situation (e.g., scope of services, business relationships)
• Lead developing firm independence policies and quality control requirements which will involve documentation and regular updates.
• Liaise with representatives of RSM International on potential independence matters, potential conflicts of interest and independence confirmations/representations.
• Support Partners and/or Professional Service Teams in perform reviews of client engagements in compliance with reputation and risk management policies, as assigned
• Lead and support negotiations in a broad range of commercial contracts with internal and external clients and suppliers, such as regional and global engagement arrangements, confidentiality agreements, referrals, teaming and sub-contracting arrangements, and tenders.
• Support the Professional Service Teams to evaluate engagements to ensure they comply with independence requirements.
• Support the Professional Service Teams and/or coordinate with external counsel where necessary in advising on, drafting, reviewing and negotiating on commercial matters.
• Responsibility for assisting and responding to enquiries and consultations from the firm's assurance and advisory practice.
• Lead and oversee regular and annual compliance monitoring, ensuring the execution of activities and timely reporting.
• Annual update of the quality management system processes and controls for compliance and implementation of legal policies, rules and guidelines.
• Develop and delivery of risk management and independence training while complying with RSM Global's required policies.
• Research to acquire knowledge and consult in risk and quality management procedures.
• Maintenance and update of risk management, independence, and assurance methodology policies, templates, and guidance
• Prepare reports and deliverables on quality management for reporting to various stakeholders.
• Develop and maintain the international standard on quality management in accordance with RSM International standards and regulatory requirements.
• SOQM & ISMQ1 & ISQM2
- Manage SOQM project with Managing Partner
- Represent RSM VN to attend meetings with global, ask questions and complete the quality management system for RSM VN
- Lead and provide consultation for ISQM1 Team with daily operations and plan in advance for key report days and events with RSM Global team.
- Communicate and engage with other departments (IT, HR, QARC etc) to ensure SOQM is being complied with.
- Continue to work with RSM Global team and Managing Partner to manage, control and develop SOQM RSM Vietnam more and more effectively and reasonably with any updates/ current RSM global policies.
- Attend quarterly meetings with RSM Global Q&R team to report and present SOQM of RSM Vietnam.
- Develop, report, and propose any ideas to improve Client Acceptance Procedure monthly via BOM meeting report.
- Response to RSM Global Q&R team's email regarding SOQM queries and Service Team's queries in Client Acceptance Procedures.
- Manage and monitor QARC and SOQM to ensure this procedure are consistence and complied.
• Assurance Engagement monitor
- Resolve issues depending on the customer's case related to changes in the contract content.
- Try to minimize the number of cases that need to be decided/approved by Partners
- Complete documents, contract management, customer acceptance inspection process
- Guide departments to effectively coordinate between customer acceptance department, revenue information and independence.
- Develop, report and propose any ideas to improve Client Acceptance Procedure monthly via BOM meeting report.
- Lead and advise laws regulation for Contract template and provide advise to Engagement team.
• CRM project management
- Participate in CRM control to ensure CRM processes are implemented.
- Resolve CRM requests and queries for related projects
- CRM data management: Ensure CRM data is updated in a timely manner to support CAT & Independence and customer management
- Lead and propose improvements for the CRM project.
- Review and approve CRM report monthly for the team to report to management team.
• ESG - Carbon Footprint reporting
- On behalf of RSM VN firm, participate in meetings with global, ask questions and complete requests from RSM Global to prepare for ESG project
- The project is in the preparation stage to officially operate
- Discuss and ask questions to ESG global team to prepare documents and resources from RSM VN
- Promote the project's purpose and requirements to the team.
- Assign appropriate people to ensure the project is operated according to Global's plan.
- Lead and provide plans and actions to partners for ESG requirements monthly
- Coordinator with Admin department to develop and conduct the project effectively.
- Provide consultation and advice to the team and report to Partners and Global monthly.
• Internal Inspection team
- Lead and monitor Internal Inspection for the whole firm (HCM office and HN office) daily.
- Report to partners and Global Quality and Risk team quarterly and attend the meeting with them to present the report.
- Continue to establish Non - compliance procedures and report to ensure comply with Global requirements.
- Continue to develop and monitor all other procedure related to Independence and Inspection.
- Establish report template for Service team and provide training as planned.