Regulatory Compliance Principal

Plante Moran•Southfield, MI

1d•$175,000 - $225,000•Hybrid

About The Position

As a principal, you’ll play a key role – supervising engagements and assuming responsibility for a variety of services including but not limited to compliance reviews, operational reviews, compliance management system assessments, policy review, and risk assessment/planning. This position will include a strong emphasis on developing staff and providing effective leadership. In addition, the role will include defined practice‑development objectives aimed at driving revenue growth, along with broader client management responsibilities.

Requirements

Bachelor’s degree required
Minimum of 10 years of experience in working in the financial services industry.
Prior experience in consulting or professional services is required.
Well versed with financial crimes compliance or consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending).
Must have the ability to follow work plans and understand banking vocabulary
The ability to have scoping meetings with prospective clients and be able to develop proposals and engagement letters.
Ability to engage in client expansion, contributing to fees sold; recognizes the importance of lead generation
Self-starter; ability to work under minimal supervision
Complete projects within budget while delivering high quality
Balance client, practice development, and administrative demands
Strong interpersonal and written communication skills required
Promote positive working relationships with diverse personalities/roles at all levels in the firm

Nice To Haves

CAMS, CRCM, CERP, or similar designations are highly preferred

Responsibilities

Lead internal audit and consulting services related to the laws, regulations, and expectations associated with financial crimes compliance, consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending), and other general risk management activities such as model risk management and enterprise risk management programs.
Manage and prioritize multiple client engagements while meeting agreed upon deadlines and ensuring frequent communication occurs with both internal and client stakeholders.
Develop findings and recommendation reports and communicate the results with clients.
Perform quality control reviews to ensure internal workpaper and deliverable standards are met.
Supervise and develop team members in the areas of client engagement management and applied regulatory compliance knowledge.
Assist in preparing and delivering proposals and engagement letters.
Develop internal and external networks to further the business development goals of the practice.
Participate in internal and external networking events, including client meetings, industry events, etc.
Formal business development (prospecting to close) in a team-supported environment.