Regulatory Compliance - Senior Associate Financial Services
About The Position
CLA is a top 10 national professional services firm where our purpose is to create opportunities every day, for our clients, our people, and our communities through industry-focused wealth advisory, digital, audit, tax, consulting, and outsourcing services. Even with more than 8,500 people, 130 U.S. locations, and a global reach, we promise to know you and help you. CLA is dedicated to building a culture that invites different beliefs and perspectives to the table, so we can truly know and help our clients, communities, and each other. An exciting job opportunity is available in CLA's Financial Services Group on the Regulatory Compliance team. We are seeking a senior associate to in-charge and complete fieldwork on various regulatory compliance outsourcing projects. How you'll create opportunities in this role: Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives. Develop an understanding of the client's business activities, processes, and associated risks. Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members. Prepare compliance reports. Work with Managers, Directors, and clients to address compliance issues. Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self-education. Provide ongoing technical assistance support to clients. Assist in the completion of other engagements/special projects or duties as assigned. Mentorship and training of staff.
Requirements
- Bachelor’s degree or equivalent work experience
- 3+ years of regulatory compliance experience
- Strong knowledge of the financial services industry, controls, and processes; prior financial services industry experience and/or regulatory experience a plus
- Strong understanding of regulatory compliance concepts
- Demonstrated track record of leading fieldwork for compliance testing
- Ability to lead and develop staff and complete assignments within required time constraints and deadlines
- Ability to travel
Nice To Haves
- CRCM, or other compliance certification, a plus
- prior financial services industry experience and/or regulatory experience a plus
Responsibilities
- Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives.
- Develop an understanding of the client's business activities, processes, and associated risks.
- Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members.
- Prepare compliance reports.
- Work with Managers, Directors, and clients to address compliance issues.
- Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self-education.
- Provide ongoing technical assistance support to clients.
- Assist in the completion of other engagements/special projects or duties as assigned.
- Mentorship and training of staff.
Benefits
- Flexible PTO (designed to offer flexible time away for you!)
- Up to 12 weeks paid parental leave
- Paid Volunteer Time Off
- Mental health coverage
- Quarterly Wellness stipend
- Fertility benefits
- health, dental, vision, 401k
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
