Regulatory Advisory Consultant

4 days ago


Charlotte, United States FORVIS Full time

Description & Requirements

Forvis Mazars is currently seeking a Consultant for our Financial Services Regulatory team.This position offers excellent learning and career advancement opportunities for the right candidate.

How you will contribute: Managing relationships with client-side stakeholders to facilitate project fulfillment Serve as a key client contact by planning, coordinating, and executing cross-functional risk management projects Exercise independent thinking skills by making decisions related to Finance and Accounting Transformation, Regulatory change, and Data Management. Assisting with driving and supporting a book of business that provides excellent, relevant services to the market Assisting with all phases of project life cycle, including execution of deliverables, team communications, staffing requirements, job planning and scheduling Staying up to date on developments regarding the market, changes in regulation, new technology, etc. Assisting with creating and developing documentation on regulatory topics related to broker dealers Delivering Forvis Mazars' commitment to unmatched client experience through timely and responsive communication with internal and external clients We are looking for people who have Forward Vision and: Ability to work well with a team as well as independently Problem-solving attitude Willingness to take initiative Close attention to detail Effective time management Strong oral and written communication skills Ability to work under pressure and against deadlines Minimum Qualifications: BA or BS Accounting, Finance, Business, or related field Operational knowledge of swaps accounting and processing Understanding of SEA Rule 15c3-3 Customer Reserve and 15c3-1 Net Capital Understanding and ability to apply knowledge of FINRA Rule 4210 Margin Understanding of CFTC Secured and Segregation Computations Proficiency in MS Office: Word, Excel, Power Point and Outlook Ability to travel as needed to serve clients

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