Supervisor - Risk Consulting, Capital Markets Compliance
About The Position
RSM is currently seeking a strong broker dealer and/or FCM, IB Compliance professional to join a fast-growing team focused on giving our clients critical assistance in developing and maintaining compliance with financial regulations. As a Supervisor in RSM's Global Financial Institutions Regulatory Compliance group, you will be a key participant in the following activities: Manage and deliver assessments and other services covering 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 strong 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 Communicate with clients on the review process, conclusions and potential improvements to the process. Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
Requirements
- Five+ years of experience in related compliance, internal audit or other control-related functions in a national consulting firm or in the financial services industry
- Extensive knowledge and expertise of FINRA, NFA compliance regulations and associated controls
- Experience in the design and implementation of consumer bank compliance programs
- Good verbal/written communication, leadership and analytical skills
- Exemplary client service skills
- Ability to exercise independence of judgement and autonomy.
- Able to present to other team members
- High ethical standards
- Bachelor’s degree in a related field
- Ability to travel
Nice To Haves
- Prior experience working for a related regulator
- Diversified experience covering two or more of the areas listed above
- Staff management experience
- Strong organizational and time management skills with ability to manage multiple priorities and projects
- Experience in Compliance and/or Internal Audit at a financial institution
- Compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.)
Responsibilities
- Manage and deliver assessments and other services covering 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 strong 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
- Communicate with clients on the review process, conclusions and potential improvements to the process.
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
Benefits
- Competitive benefits and compensation package
- Flexibility in your schedule
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
