Risk & Compliance Specialist

What You'll Do

Position Overview 

The Risk & Compliance Specialist supports the development, implementation, and ongoing management of the firm’s risk management and compliance programs.

This role is responsible for helping ensure compliance with applicable regulatory requirements and internal policies, while proactively identifying, assessing, and mitigating risks that could impact the firm.

The ideal candidate is detail-oriented, analytical, and comfortable collaborating across departments and with external stakeholders. 

Shape 

Key Responsibilities 

Risk Management 


* Identify, assess, and prioritize organizational risks across business functions. 


* Assist in the development and implementation of risk management frameworks and mitigation strategies. 


* Monitor and analyze risk trends and prepare regular reporting for senior leadership. 


* Conduct risk assessments and internal audits to evaluate the effectiveness of existing controls. 


* Collaborate with cross-functional teams to promote a consistent and integrated approach to risk management. 

Compliance & CPE Monitoring 


* Support firm-wide compliance with applicable laws, regulations, and internal policies. 


* Develop, implement, and maintain compliance-related policies and procedures. 


* Conduct periodic compliance reviews and audits, including CPE compliance monitoring. 


* Provide guidance and training to employees on compliance requirements and best practices. 


* Stay current on regulatory changes and industry standards, including those issued by the AICPA, PCAOB, SEC, and State Boards of Accountancy. 

Reporting & Documentation 


* Prepare and maintain risk and compliance documentation for PCAOB inspections, Peer Review, and internal reporting. 


* Maintain comprehensive records of risk assessments, compliance reviews, and corrective actions. 


* Track and document compliance-related activities, issues, and resolutions. 

Policy Development & Systems Support 


* Assist with drafting, reviewing, and updating firm policies and procedures to address identified risks and compliance requirements. 


* Monitor policy implementation and provide ongoing support to ensure effectiveness. 


* Manage and maintain the Legal intranet page. 


* Support the Legal team with the creation and administration of Microsoft Forms and related tools. 

Stakeholder Communication & Support 


* Support the Legal Counsel and Learning & Development teams on compliance and risk-related initiatives. 


* Support and collaborate with the Risk & Compliance Senior Manager on the development and execution of risk management and compliance programs. 


* Serve as a liaison with external regulators and oversight bodies, as needed. 


* Communicate compliance issues, including CPE deficiencies and CPA license renewal matters, to appropriate stakeholders in a clear and timely manner. 


* Assis...