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Regulatory Compliance Senior Associate

2 months ago

Chicago, Illinois, United States RSM Full time

About Us

RSM is a premier provider of professional services tailored for the middle market worldwide. Our mission is to instill confidence amid change, enabling our clients and personnel to achieve their utmost potential. Our remarkable workforce is the cornerstone of our inclusive culture and exceptional talent experience, making us appealing to our clients. Here, you will discover an environment that encourages and empowers you to excel both personally and professionally.

Position Overview

The AML/Regulatory Compliance division at RSM is actively seeking a skilled individual to enhance our rapidly expanding Risk Consulting practice at the Senior Associate level. This role will oversee and execute regulatory compliance internal audits, assessments, model validations, and various services at client sites within financial institutions.

Key Responsibilities

  • Conduct model validation activities and testing against BSA/AML and OFAC models, evaluating risks associated with model design, data integrity, output, and governance.
  • Lead independent audits focused on AML, assessing risks, testing controls, and providing actionable recommendations regarding AML compliance protocols.
  • Exhibit proficiency in BSA/AML and OFAC regulations, along with a foundational understanding of their application within the financial services sector.
  • Identify potential risks, evaluate mitigating controls, and propose enhancements to the control environment.
  • Assist in the creation and upkeep of testing documentation, procedures, and tools aimed at automating and standardizing validation processes.
  • Foster strong client relationships through effective support and expert guidance.
  • Engage in ongoing training initiatives to expand knowledge of BSA/AML and OFAC regulations and industry best practices.

Required Qualifications

  • Bachelor's or Master's Degree in Accounting, Finance, or a related discipline.
  • Strong communication skills with the ability to manage multiple priorities while meeting internal and external deadlines.
  • Proficiency in word processing, spreadsheet, and presentation software.
  • Familiarity with systems such as Actimize, FIS Prime, or Verafin.
  • A minimum of 2 years of experience in AML, Regulatory Compliance, and/or Model Validation within financial institutions.

Preferred Qualifications

  • Certifications such as CAMS, CFE, or ACFCS.
  • Experience with regulatory agencies like the FRB, OCC, FDIC, or NYDFS.
  • Effective verbal, written, and interpersonal communication abilities.
  • Capability to work both independently and collaboratively within a team.
  • Strong project management skills, demonstrating flexibility in prioritizing and completing tasks to meet objectives.
  • Creative problem-solving skills with the ability to interpret regulatory requirements and advise clients on compliance matters through effective solutions.

Compensation and Benefits

At RSM, we provide a competitive benefits and compensation package for all employees. We offer flexible scheduling options, empowering you to balance personal and professional commitments while serving clients effectively. The compensation range for this role is $67,500 - $127,600, with eligibility for a discretionary bonus based on both firm and individual performance.

RSM is an Affirmative Action and Equal Opportunity Employer. We are committed to providing equal opportunity and reasonable accommodation for individuals with disabilities throughout the recruitment process and employment. We do not tolerate discrimination or harassment based on any protected characteristic.