We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.
RSM's Regulatory Compliance group is currently seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. The Risk Advisory Services practice assists clients in managing operational, financial, compliance and technology risk, as well as designing and implementing process improvements that can lead to increased value, revenue, or cost containment. This position will lead and deliver regulatory compliance internal audits, assessments, model validations and other services at client locations within financial institutions.
Position Description
- Develop strong relationships with existing clients and prospective clients within banking and financial services industries to enable effective sales
- Manage and deliver assessments and other services covering regulatory compliance for banks, credit unions, broker dealers and other financial institutions
- Manage engagements (including planning, execution, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion
- Communicate with clients on the review process, conclusions and potential improvements to the process.
- Conduct documentation, workpaper and client report review
- Provide timely, high quality client service that meets or exceeds client expectations
- Demonstrate knowledge in various facets of risk advisory services
- Provide consulting advice that enables clients to increase shareholder value
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
Experience Required
- Application of regulatory compliance expertise in a consulting, financial institution or regulatory environment
- Development, implementation and/or evaluation of policies, procedures and processes to meet regulatory needs
- Supervisory experience in a financial institution
Basic Qualifications
- Bachelor's degree in accounting, finance or related business field and or a law degree
- Eight+ years of regulatory compliance experience in financial institutions
- Experience with a national or regional public accounting firm, or at a financial institution as a regulatory compliance officer or internal auditor, or with a regulatory agency
- Regulatory compliance internal audit experience a plus
- Previous project management and staff management experience
- Exemplary client service skills
- Ability to travel locally and regionally in the Midwest, as well as other regions as requested
Preferred Qualifications
- Exceptional verbal/written communication, leadership and analytical skills needed to manage project teams, review workpapers, prepare client reports, and present results to clients in a timely manner
- Strong organizational and time management skills with ability to manage multiple priorities and projects
- CRCM, CAMS, CCBCO, AMLP or other regulatory compliance certification preferred
- CIA, CPA certifications a plus
- Understanding of regulations and/or banking regulations (e.g., TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.)
- Understanding of FINRA and SEC rules
At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.
As an Affirmative Action and Equal Opportunity Employer all applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender (including gender identity and/or gender expression); sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.
RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.
RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM’s background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.
At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.
Compensation Range: $92,100 - $185,400
Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
