Quality Management Compliance Senior

Overview

Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world’s leading financial centers – New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP (Baker Tilly) provide professional services through an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations and professional standards. Baker Tilly US, LLP is a licensed independent CPA firm that provides attest services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services to their clients. Baker Tilly Advisory Group, LP and its subsidiary entities are not licensed CPA firms.

Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Instagram.  

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Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law.

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Job Description:

 

As a Sr. Associate - Risk Management, you will contribute specialized expertise and reliable execution within Risk Management, managing assigned priorities and delivering accurate, timely, and practical results. Your work will contribute directly to the effectiveness of the team and the quality of the services or support provided to stakeholders.

In this role, you will apply relevant technical knowledge, established methodologies, and professional judgment; understand business needs and maintain effective working relationships with key stakeholders; and set clear expectations, coordinate work, and support the growth and performance of team members. You will identify issues, communicate practical recommendations, and maintain complete and accurate documentation appropriate to the work.

You will collaborate across the firm and with relevant stakeholders to advance service quality and stakeholder outcomes, day-to-day execution and continuous improvement and team capability and talent development. Success in the role requires effective communication, strong organization, thoughtful problem-solving, and consistent follow-through.

Responsibilities

The Senior Associate for Risk and Compliance will assist with project execution/implementation and project management for Independence Compliance Requirements.  This includes:

• Assist with diligence and onboarding activities related to independence conflicts of interest associated with firm mergers and acquisitions

• Monitoring timely completion of independence compliance requirements

• Reviewing and implementing appropriate safeguards for independence-related requirements

• Monitoring and assisting with independence consultation requests

• Assistance with restricted investment monitoring

• Supporting independence and compliance requests from regulatory agencies

• Assisting with monitoring compliance with public company independence requirements

• Participate in special projects and development of AI tools to streamline compliance requirements moving forward

This role will allow you to quickly contribute to on-going projects while at the same time, being challenged by new opportunities and advancing your professional potential.

Qualifications

• Minimum of 3 years relevant experience in risk management or a related field

• Bachelors degree preferred. Minimum of 7 years of relevant experience is required in lieu of a bachelor’s degree

• Working knowledge of the principles, processes, methodologies, and quality standards relevant to risk management and independence

• Ability to research and analyze information, identify issues, document conclusions and communicate practical recommendations appropriate to the role level

• Ability to manage priorities, maintain accurate and complete documentation, protect confidential information and meet established deadlines

• Documentation of processes, procedures and results

• Data validation

• Proficiency with Microsoft Office and the systems, applications, and research tools

• Collaboration platforms used by the team such as PowerBI, Intapp and Smartsheet are a plus.

• Critical thinking

• Attention to detail

• Organization and prioritization

• Project management experience

• Strong written and verbal communication

• Stakeholder relationship management

The pay rate range for this job position is $88,920 to $134,860. Actual compensation is influenced by a variety of relevant factors including but not limited to applicant’s skills, prior experience, qualifications, degrees, professional certifications, work arrangements and geographic location. Baker Tilly offers a comprehensive compensation and benefits package to eligible employees.    

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