Manager – Securities Compliance QA (Global Banking )
RSM US LLP•Tampa, FL
•$54 - $80
About The Position
RSM is seeking a temporary Manager‑level Securities Compliance QA professional to support the Global Banking Practice. This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker‑Dealer and RIA compliance programs for banking and wealth management clients.
Requirements
- 5+ years of securities compliance, compliance testing, QA, or regulatory oversight experience.
- Experience operating in a second line of defense capacity.
- Strong knowledge of Broker‑Dealer and RIA regulatory requirements.
- Experience supporting large or complex banking / financial services organizations.
- Ability to work independently in a fast‑paced, client‑delivery environment.
Nice To Haves
- Prior CCO, senior compliance, or regulatory remediation experience.
- Series 7, 24, 63, 65, 66 SIE (active or previously held).
Responsibilities
- Perform risk‑based compliance QA reviews across Broker‑Dealer and RIA environments.
- Independently assess first line policies, procedures, supervisory controls, and surveillance programs.
- Validate regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
- Support regulatory exams, issue validation, and remediation efforts.
- Identify control gaps, root causes, and emerging compliance risks impacting Global Banking clients.
- Partner with Compliance, Legal, Risk, and Business stakeholders to drive timely remediation.
Benefits
- Competitive benefits and compensation package
- Flexibility in schedule
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
