Senior Associate, Risk Consulting (Capital Markets Compliance)

RSM US LLP•New York, NY

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 activities related to financial regulations.

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, and ability to present to other team members.
Ability to exercise independence of judgement and autonomy.
High ethical standards.
Bachelor’s degree in a related field.
Ability to travel.

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.
Participate in the evaluation of the current state of the compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program.
Participate in the development and implementation of compliance policies and controls.
Participate in the independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.
Participate in the response to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices.
Develop relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations.
Participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion.
Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications.