Supervisor, Risk Consulting Global Banks (Consumer Compliance)

RSM US LLP•New York, NY

About The Position

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.

Requirements

4+ years’ experience with federal regulatory compliance laws and regulations in a financial institution, specialty finance, financial services, regulatory agency, or consulting capacity
Bachelor’s degree in a related field
Good knowledge and expertise of AML/CFT/Sanctions risks, regulations, and typologies
Experience in the design and implementation of AML programs

Nice To Haves

Master’s degree in business, a law degree or equivalent consulting industry experience
Compliance, AML or audit certifications (e.g. CAMS, CRCM, CIA)
Staff management experience

Responsibilities

Manage and deliver assessments and other services covering AML/CFT/Sanctions regulatory compliance for banks, broker dealers and other financial institutions
Participate in the evaluation of the current state of the AML//CFT/Sanctions compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the AML/CFT/Sanctions Program
Participate in the development and implementation of AML policies and controls
Participate in the independent testing or audits of all aspects of the client’s AML/CFT/Sanctions 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), conducting exit meetings, and assisting 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