Capital Markets Regulatory Risk Manager (BD & RIA)

RSM US LLP; New York (NY); On-site; USD 150,000 - 190,000; Full time

Job summary

RSM US LLP is seeking a highly motivated manager to join our Financial Services Risk Consulting practice, focusing on helping clients develop and maintain compliance with broker-dealers (BD) and registered investment advisers (RIA) regulations.

As a manager, you will lead assessments, provide strategic advice to strengthen compliance programs, and manage multiple engagements with senior stakeholders in the banking and financial services industry.

Qualifications

• Bachelor's degree in Accounting, Finance, Business Administration, or Economics or related field.
• 4+ years of relevant professional experience at Big Four or national firm.
• Experience in broker-dealer and/or asset manager (RIA) regulatory compliance.
• ERM frameworks, risk assessments, and internal control environments.
• Ability to lead internal audits, testing, and advisory engagements.

Responsibilities

• Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAs
• Evaluate current state of compliance program, identify deficiencies and strengthen controls
• Conduct independent testing/audits of compliance program and suggest governance improvements
• Respond to enforcement actions and develop corrective action plans
• Develop relationships with existing and prospective clients in banking/financial services
• Manage engagements including planning, execution, reports, and wrap-up
• Communicate review conclusions and potential process improvements to clients
• Stay updated on regulatory changes and pursue continuing education

Skills

Leadership

Client Relationship Management

Analytical Rigor

Communication

Adaptability

Project Leadership

Education

Bachelor's degree in Accounting/Finance/Business

MBA/MSF (preferred)

Job description

RSM US LLP is seeking a highly motivated manager to join our Financial Services Risk Consulting practice, focusing on helping clients develop and maintain compliance with broker-dealers (BD) and registered investment advisers (RIA) regulations.

As a manager, you will lead assessments, provide strategic advice to strengthen compliance programs, and manage multiple engagements with senior stakeholders in the banking and financial services industry.