Regulatory Compliance Manager for Financial Institutions

3 weeks ago

New York, New York, United States RSM US LLP Full time
Company Overview

RSM US LLP is a leading provider of professional services to the middle market globally. Our purpose is to empower our clients and people to realize their full potential.

Job Description

We are seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. The role will lead and deliver regulatory compliance internal audits, assessments, model validations, and other services at client locations within financial institutions.

Salary Information

The estimated salary range for this position is $90,000 - $120,000 per year, depending on experience and qualifications.

Key Responsibilities
  • Develop strong relationships with existing clients and prospective clients within banking and financial services industries.
  • 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.
  • Provide timely, high-quality client service that meets or exceeds client expectations.
Requirements

To be successful in this role, you should have:

  • Bachelor's degree in accounting, finance, or a 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.
Benefits

RSM offers a competitive compensation package, including a discretionary bonus based on firm and individual performance.

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