About The Position
RSM is currently seeking a strong broker-dealer (BD) and/or FCM/IB Compliance professional to join a fast-growing team focused on providing our clients critical assistance in developing and maintaining compliance with financial regulations. As a Senior Associate in RSM's Global Bank Regulatory Compliance group, you will be a key participant in various compliance-related activities for banks and other financial institutions.
Requirements
- Two+ years of experience in BD and/or FCM/IB compliance, internal audit, or other control-related functions in a national consulting firm or in the financial services industry.
- Strong knowledge of SEC, FINRA and/or CFTC, NFA compliance regulations and associated controls.
- Good verbal/written communication, leadership, analytical, and client service skills.
- Ability to present to other team members.
- Ability to exercise independence of judgment and autonomy.
- High ethical standards.
- Bachelor’s degree in a related field.
Nice To Haves
- Experience in a regulatory body preferred.
- Exposure to the design and implementation of compliance programs.
- Prior regulatory related work experience at either a regulator or a compliance or internal audit department at a financial institution.
- Strong organizational and time management skills.
- Relevant compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.) preferred.
Responsibilities
- Participate in assessments and other services covering BD and/or FCM/IB compliance for banks and other financial institutions.
- Evaluate the current state of the compliance program, identify deficiencies, enhance controls, and provide advice to strengthen the compliance program.
- Participate in the development and implementation of compliance policies and controls.
- Participate in independent testing or audits of the client’s compliance program and suggest improvements for governance, monitoring, training, and testing.
- Participate in responding to enforcement actions by developing and executing corrective action plans.
- Develop relationships with existing and prospective clients in the banking and financial services industries, providing high-quality client service.
- Participate in engagements, including planning, execution, workpaper review, report preparation, and final wrap-up.
- Conduct exit meetings and assist in the preparation of reporting and related risk assessment completion.
- Stay abreast of changes in industry regulations and develop own competency through continuing education and professional certifications.
Benefits
- Competitive benefits and compensation package.
- Flexibility in schedule.
- Discretionary bonus based on firm and individual performance.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
