Regulatory Compliance Risk Senior Manager

7 days ago

Dallas, United States Grant Thornton (US) Full time

Locations: Dallas, Charlotte, NY, Philadelphia and Phoenix


As a Regulatory Compliance and Operational Risk Senior Manager, you will get the opportunity to grow and contribute to our clients' business needs by providing in-depth technical knowledge on emerging regulations and help organizations leverage efficiencies within the Risk Advisory Practice – all with the resources, environment, and support to help you excel. You’ll collaborate with teams to provide comprehensive compliance optimization strategies, to help clients remediate regulatory gaps, streamline operations and limit risk exposure.


From day one, you’ll be empowered by the greater Regulatory Compliance team to help clients make the moves that will help them achieve their vision and help you achieve more, confidently.

Your day-to-day may include:

  • Perform engagement oversight responsibilities, including performance reviews, task delegation, project scheduling, project financials, quality review and client management
  • Lead and support business development activities, such as proposals, capture, account teams, whitepapers, conferences, and/or other thought leadership material
  • Lead testing team for Consent Order Validation and independent monitoring engagements, responsible for overseeing execution of testing to verify clients address issues identified and meet requirements set forth by regulators.
  • Build, maintain, and utilize networks of client relationships and industry involvement and communicating our value proposition
  • Active communication with clients to manage expectations, ensure satisfaction, and become a trusted business partner
  • Drive new business and meet or exceed sales targets for new and follow-on work
  • Meet or exceed targeted billing hours (utilization)
  • Develop and track engagement work plans, timelines, budgets, and resource allocations
  • Oversee development of, and completion of, engagement and testing activities
  • Manage and minimize engagement risk by proactively identifying issues and recommended courses of remediation
  • Research, analyze, and understand current marketplace issues and emerging regulatory requirements and guidance
  • Develop thought leadership and whitepapers on emerging regulatory and risk requirements.
  • Participate in and speak at industry conferences, seminars, and associations
  • Communicate externally with clients, regulators, and internally with all levels of the organization
  • Direct communications and meetings with client and regulators to discuss status, results of testing activities and issues
  • Adhere to the highest degree of professional standards and strict client confidentiality
  • Manage, develop, train, mentor staff on projects and assess performance for engagement and year-end reviews
  • Actively participates in recruiting top talent to the firm and interviews campus and/or experienced candidates
  • Other duties as assigned


You have the following technical skills and qualifications:

  • Bachelor’s degree in Accounting, Economics, Finance, Information Technology, MIS, or related field required
  • Minimum 10 of related work experience in financial services, federal regulator, similar consulting practice or function servicing cross-industry clients at a national level required
  • Certification required, CPA, CRCM, CRMA, CCEP, CRMP, CIA, Certified Federal Bank Examiner, Attorney (concentration in banking law, securities law, financial services regulation, or similar), or related license/certification
  • Depth of knowledge of consumer protection principles, compliance management systems, compliance risk management, consumer protection laws (TILA, ECOA, RESPA, Flood Insurance, HMDA, FDCPA, FCRA, UDAAP, TISA, EFTA, EFAA, SCRA, MLA, Privacy, Fair Lending etc.)
  • Depth of knowledge and practical use with regulatory guidelines including but not limited to CFPB, FDIC, FRB, OCC, and NCUA compliance examination procedures
  • Compliance, Operational Risk and/or Regulatory Compliance or related consulting experience
  • Exceptional client service with a demonstrated ability to develop and maintain outstanding client relationships
  • Experience in creating and tracking of engagement work plans, timelines, budgets, project management, and resource allocations
  • Excellent oral and written communication skills including Strong computer skills including proficiency in Microsoft Office Suite
  • Strong administrative skills: project workflow; budgets; billing and collections; and preparing and/or coordinating complex written presentation materials
  • Can travel as needed


The base salary range for this position in Manhattan/New York City only is between $162,00 to 270,000

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