Ownership Roles
in Your Organization
• It’s important to have clearly defined ownership for each of
the functional areas of your practice
• Each area should have a defined set of responsibilities and a
plan established each year
• Use the sample templates on the following pages to:
– Identify each of the functional areas of your firm, or teams, and the
single owner for each
– Assign ownership to each of the responsibilities identified for the
functional areas, or teams, by placing one name in each box
• We recommend you establish additional “boxes” as needed
for each of the departments or functions in your firm and also
boxes and owners for each of your niche initiatives and this
year’s special projects
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ConvergenceCoaching, LLC
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Firm-Wide Roles
Leadership
Strategic
Planning
Staff Recruiting
Staff Retention
Financial
Planning
Billing and
Bookkeeping
Marketing
Sales
Service Delivery
and Scheduling
Risk
Management
Client
Satisfaction
Internal IT
Office Admin.
Director of Fun
Training &
Development
Service Line –
Audit
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ConvergenceCoaching, LLC
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Firm-Wide Roles
Service Line –
Audit
Service Line -
Service Line -
Service Line -
IT Consulting
CRM Selection
Paperless Project
X Initiative
X Initiative
X Initiative
X Initiative
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Finance Department
GL
AP
PR
Billing
Collections
Financial
Reporting
Tax Management
Systems
International
Compliance
Contracts
Pricing
U.S. Regulation
Compliance
Board Interface
Month End
Closings
Internal Auditing
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
HR Recruiting
Contract
Recruiters
Offer Letters
Scheduling
Screening
Processes/Refere
nce Checking
Advertising
Staff Level
Experienced Staff
Web site and
Collateral
Premium “Gifts”
Designated U
Designated U
Designated U
Designated U
Designated U
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
HR Retention
Fun
Mentoring
Benefit
Administration
Performance
Appraisal Process
Training
CPE Tracking
EE Surveys
Suggestion Box
Flex Programs
Other
Other
Other
Other
Other
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Tax Service Line
Leadership
Strategic Planning
Staff Recruiting
Staff Retention
Financial Planning
Non-Profit Tax
Tax Research
Products
R&D Credit
Service Delivery
Training
Cost Segregation
Tax TQMs
E-file
Tax Systems –
Prosystems
Technology
Scheduling
Enterprise Zone
Consulting
Estate and Trust
State and Local Tax
F/S Compilation
Practice
FASB 109
Tax
Communications
1040 Tax Processing
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Sales
Sales Strategy
Pipeline
Management
Sales Meetings
Sales Process
Sales Training
Proposals or
Engagement
Letter Process
and Templates
New Client SetUp
Cross-Selling
Win/Loss Analysis
New Business
Development
Account
Management
CRM
Other
Other
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Marketing
Marketing
Strategy
Budget
Story or
Positioning
Web Site
Marketing
Calendar
Web Seminars
Newsletters
Client
Communications
Networking
Lead Generation
Activities
Social Media
Promotional
Materials
Vendor
Management
Public Relations
Competitive
Analysis
Marketing
Coordination
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Level Two Roles Grid –
Audit Service Line
Scheduling
QC
CPE
Marketing
Communications
Processes &
Engagement
Strategies
Staff Recruiting
Staff
Development
Risk Management
IT Audit
Compliance
Research
Budgeting
Telecom
EBP
Governmental
NPO
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Level Two Roles Grid –
Leadership
Managing Partner
Group
Managing Firm
Administration
Conducting
Partner
Meetings
Conducting All
Staff/Firm-wide
Meetings
Firm-wide
Communications
Strategic
Planning
Leadership
Training and
Messages
Firm Values and
Culture
“Guardian” or
“Champion”
Firm Mission
Firm Vision
Partners
Agreement
Partner
Compensation
Succession
Planning
Other
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Client
Project Strategy
Project Manager
Project Timeline
Meeting and
Recaps
Communications
Interface with
Client
Interface with
Other
Departments
Specific Project
Components
Specific Project
Components
Specific Project
Components
Specific Project
Components
Specific Project
Components
Other
Other
Other
Other
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ConvergenceCoaching, LLC
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Client Service
Roles Grid
Service
Methodologies
Client
Satisfaction
Client
Testimonials
Client Communication Holiday Cards
or Gifts
Policies
Client Section on
Firm Website
Client
Acceptance
Procedures
Firm Communications
for Clients
Scope
Change
Process
Client Self
Service Programs
Client
Conference
Client Agreements
and Contracts
Client
Surveys
PostEngagement
Follow Up
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ConvergenceCoaching, LLC
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Quality
Control
Social Media Initiative
Roles Grid
Develop Firm
Strategies and
Objectives
Project
Management
Facebook
LinkedIn
Twitter
Blogs
Staff
Communications
Training
Technical Support
and Questions
Documentation
Client
Communications
HR and IT
Policy
Development
Other
Other
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Paperless Initiative
Software
Selection
Project
Management
Policies and
Procedures
Hardware
Requirements
Software
Implementation
Vendor
Management
Client
Communications
Training
Technical
Support and
Questions
Documentation
Paper to Data
Transfer Process
Files
Disposition
Building Impacts
Other
Other
Other
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ConvergenceCoaching, LLC
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Level Two Roles Grid –
Audit Client
Staff scheduling
Client file and
Trial Balance
Setup
Reconciling and
Rolling Forward
Client
Documents
Selecting and
Vouching Client
Documents
Creating and
Updating
Schedules
Updating Client
Financials
Preparing Audit
Report
Preparing SAS
115 Letter
Delivering Audit
Presentation
Specific Project
Components
Specific Project
Components
Specific Project
Components
Reading
Significant
Agreements
General File
Checklist
Completion
Risk Assessment
Audit Scope
Determination
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