Senior Manager, Forensics and Compliance

Stout•Washington, DC

About The Position

This role sits at the intersection of Forensics, Compliance, and Financial Services Advisory, leading complex investigations, regulatory engagements, and dispute-related consulting work. You will drive integrity across client engagements and internal initiatives while leveraging deep securities industry expertise to support litigation, compliance assessments, and risk mitigation strategies.

Requirements

Bachelor’s degree in Accounting, Finance, Business, or a related field (advanced degree preferred).
5-10 years of experience in financial services consulting.
Deep knowledge of securities industry regulations, trading practices, and/or brokerage operations.
Experience with regulatory frameworks such as SEC, FINRA, SOX, FCPA, and AML/KYC.
Proven ability to lead teams and deliver high-quality, defensible work product.
Strong analytical, problem-solving, and decision-making skills.
Excellent written and verbal communication skills, including formal report writing and presentation delivery.
Demonstrated business development capabilities and client relationship management experience.
Strong organizational skills, attention to detail, with the ability to manage multiple projects under tight deadlines.
Experience mentoring and developing teams, with a collaborative leadership style.
High level of integrity and ability to handle sensitive, confidential matters with sound judgment.

Nice To Haves

Professional certifications such as CFE, CAMS, or prior securities licenses (Series 7, 63, 24) strongly preferred.

Responsibilities

Serve as a trusted advisor to senior leadership and clients on complex risk, compliance, and dispute-related matters.
Assist in high-profile dispute resolution and compliance initiatives, promoting integrity, accountability, and defensible outcomes across engagements.
Strengthen client and organizational risk posture by identifying, investigating, and mitigating fraud, misconduct, and regulatory exposure.
Help shape and enhance compliance frameworks align with evolving regulatory requirements, industry standards, and securities market practices.
Drive business growth by leveraging industry relationships and identifying new client opportunities within the financial services sector.
Build and mentor high-performing teams, fostering a culture of excellence, collaboration, and continuous improvement.
Support senior management in complex dispute resolution engagements, involving financial services matters in which operational, regulatory, and compliance requirements are at issue.
Oversee consulting projects involving the development or enhancement of client policies, procedures, and controls to ensure regulatory compliance and mitigate risk.
Lead project teams and oversee client investigative engagements involving enterprise and client risk assessments, identifying vulnerabilities and recommending practical mitigation strategies.
Monitor regulatory developments (e.g., SEC, FINRA, AML/KYC, FCPA, SOX) and emerging risks, advising on industry trends and compliance expectations.
Assist senior management and subject matter experts in preparing clear, concise, and defensible reports for legal proceedings.
Lead business development efforts, including: Developing pitch materials and proposals, Attending industry conferences and building client relationships and drafting thought leadership content.
Oversee project management across engagements, including: Work planning, team building, document organization, report drafting, work product quality control, and budget tracking.
Assist in creating and reviewing project materials and work product, including financial analysis, corresponding charts, graphs, and demonstratives.
Utilize industry tools and technologies (e.g., Power Point, Bloomberg, LexisNexis, CapIQ, Salesforce, Relativity) to support analysis and reporting.