Compliance Independence Manager

Main Responsibilities:

• Independence & Ethics Compliance

- Monitor and enforce compliance with professional independence and ethical standards across all service lines (Audit, Tax, Consulting).

- Oversee the Firm’s Client and Engagement Acceptance process to ensure alignment with independence and ethics requirements.

- Lead independence consultations and provide guidance to Partners and/or Professional Service Teams on applying independence standards in specific situations (e.g., scope of services, business relationships)

- Support the Service Teams in evaluating and reviewing clients’ engagements to ensure compliance with independence and risk management policies.

- Liaise with representatives of RSM International on independence and ethics issues, potential conflicts of interest, and independence confirmations/representations

- Develop and maintain and regularly update the Firm’s independence, risk management, and ethics policies, templates, and guidance.

- Design and deliver training programs on independence and risk management in alignment with RSM Global requirements.

• SOQM & ISMQ1 & ISQM2

- Manage with the implementation and ongoing operation of SOQM in accordance with ISQM 1 & 2 and RSM Global policies.

- Represent RSM Vietnam to attend global quarterly meetings and discussions related to SOQM, independence, and quality assurance.

- Report on SOQM progress and developments quarterly to the Global Quality & Risk team.

- Develop and maintain the international standard on quality management in accordance with RSM International standards and regulatory requirements.

• CRM project management

- Support the implementation and maintenance of CRM processes.

- Handle CRM-related requests, ensure timely data updates, and contribute to process improvements and reporting.

• ESG – Carbon Footprint reporting

- Coordinate with RSM Global and internal teams to support ESG project implementation.

- 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.

*Candidates are advised that the key responsibilities outlined above will be further clarified and discussed in-depth during the interview, to ensure mutual understanding and alignment with the role”

Job Requirements:

Education:

Bachelor’s degree in accounting, Auditing, Finance, Economics, Business Administration or related fields, from a reputable international university or overseas educational institution is strongly preferred, with outstanding academic performance.

Familiarity with audit, accounting standards and/or independence standards

Professional qualifications in Auditing, Finance, or Accounting (e.g., CA, CPA, ACA, or ACCA) are preferred.

Experiences:

4 - 7 years’ experience in audit, risk management, compliance or relevant areas is preferred

Experience in professional services firm experience or global/ international firms is preferred

Experience at the managerial level in a Big 4 Firm is an advantage.

Knowledge

Knowledge of independence and regulatory issues in a professional services environment

Knowledge of compliance or risk management standards

Skills

· Have the capability to engage and communicate with RSM Global confidently and adapt any changes and new requirements of RSM Global requirements.

· Strong organizational and project management skills, attention to detail and willingness to gain excellent knowledge

· Ability to adapt quickly to changes within the firm and maintain flexibility in a dynamic environment.

· Ability to apply technical/procedural requirements of the position based on knowledge and experience within specialization

· Demonstrated ability to identify and recommend process improvement and efficiency

· Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts

· Strong ability to self-learn and independently research complex matters, with Global mindset, demonstrating a proactive approach and adaptability in an international context.

· Strong ability to acquire, synthesize, and present technical information effectively.

· Highly proactive in continuous learning and self-development to enhance technical expertise

· Ability to adapt quickly to changes in the firm

· Ability to work independently and collaboratively

· Proficient in Microsoft Office suite including Excel and PowerPoint

· Proficiency in English language (both verbal and written), equivalent to native-level fluency, to effectively collaborate in a professional, international environment.

· Good at Chinese/ Japanese/ Korean is a plus.

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