Regulatory Compliance Risk Manager

4 days ago

Dallas, United States Grant Thornton (US) Full time

Locations: Dallas, Charlotte, NY, Philadelphia and Phoenix


As a Regulatory Compliance and Operational Risk 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 Operational Risk 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
  • Manage business development activities, such as proposals, capture, account teams, whitepapers, conferences, and/or other thought leadership material
  • Manage testing team for Consent Order Validation and independent monitoring engagements, responsible for managing and execution of testing to verify clients address issues identified and meet requirements set forth by regulators.
  • Manage development of, and completion of, engagement and testing activities
  • Manage and minimize engagement risk by proactively identifying issues and recommended courses of remediation
  • Maintain a good working relationship with clients and work effectively with client management and staff at all levels to gather information and perform services
  • Build, maintain, and utilize networks of client relationships and industry involvement and communicating our value proposition
  • Research, analyze, understand current marketplace issues and emerging regulatory requirements and guidance
  • Develop thought leadership and whitepapers on emerging regulatory and risk requirements.
  • Communicate externally with clients, regulators, and internally with all levels of the organization.
  • Participate in and assist leading communications and meetings with client and regulators to discuss status and results of testing activities, including issues identified.
  • 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
  • Other duties as assigned


You have the following technical skills and qualifications:

  • Bachelor’s degree in Accounting, Economics, Finance, Information Technology, Risk Management, or related field required
  • Minimum 6 years of related work experience working in regulatory compliance, risk or internal audit departments at commercial/retail banks, federal regulatory agencies, or other financial institutions, in a similar consulting practice
  • Certification required, CPA, CRMA, CCEP, CRMP, CIA, Certified Federal Bank Examiner, Attorney (concentration in banking law, securities law, financial services regulation, or similar), or related license/certification, CRCM certification preferred
  • Proven technical ability handling compliance issues
  • 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.)
  • Understanding of consumer financial products and disclosures, including transaction accounts, savings deposits, time deposits, prepaid cards, mortgages, home equity loans/lines of credit, credit cards, auto loans, student loans, personal loans/lines of credit and overdraft services
  • Knowledge of operational processes, systems, and controls relating to consumer financial products
  • Practical experience involving compliance testing, compliance audits, compliance training, data analytics at banks and financial institutions of various types and sizes
  • Familiarity with regulatory guidelines including but not limited to CFPB, FDIC, FRB, OCC, and NCUA compliance examination procedures.
  • Strong oral communication, written communication, organizational, technical, and analytical skills
  • Excellent teamwork and collaboration skills
  • Can travel as needed

The base salary range for this position in Manhattan/ New York City only is between $138,200 to $207,400.

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