Job #: 6595

Title: Regulatory Specialist


  • Northern New Jersey
  • Job Type:

  • Contract
    • Anywhere
    • Posted 2 years ago

    ​Core functions that will be performed on behalf of the US Independence Business Relationships team includes:

    System of Quality Control (SoQC) documentation and review – Annually Access Dallas Accounting Service Center (DASC) to obtain information tracking spend with suppliers  daily/weekly Access SharePoint documentation to conduct reviews  daily/weekly Assist in the secondary reviews of Alliances and other business relationships daily/weekly Review Subcontractor and other business relationship agreements ongoing Evaluation of Business Relationships for audit client clearances  ongoing Non affiliate reports conduct quality review of the report of non-affiliate affiliates (NAs) on SEC audit client Sentinel trees daily Respond to inquiries and apply the independence rules and regulations, firm policies daily/weekly Oversee work product and possibly oversee entire small projects, manage deadlines, expectations and supervise the work performed by more junior staff; provide feedback to such individuals  ongoing Perform independence technical research; interpret and apply the results of that research to different fact patterns in order to reach conclusions with limited consultation with senior management  ongoing Interface regularly with:

    Independence Group workstream partners/managing directors and directors regarding execution of tasks and responsibilities and help to drive desired outcomes for the Independence Group ongoing Audit, Advisory, Tax and back office support professionals to provide guidance, resolve questions on matters of basic complexity regarding the application of professional independence standards and advise on best practices or recommendations for improvements based on intermediate understanding of clients’ business needs  ongoing


    Background in public policy and/or governance/compliance functions Knowledge of and ability to apply fundamental concepts, practices and procedures in related skillsets Able to perform work that is varied and somewhat difficult in nature Able to perform work with minimal to moderate supervision; able to apply and interpret business rules and concepts in daily work

    3-5 years of experience


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