Financial Services Risk & Compliance Manager

RSM US LLP; New York, Northern (NY, KY); Hybride; USD 101 000 - 203 000; Plein temps

Résumé du poste

RSM US LLP in New York seeks a motivated Manager to lead financial services risk consulting engagements, focusing on BD/RIA regulatory compliance, governance, and risk assessment.

You will direct project planning, testing, reporting, and stakeholder communication, while developing client relationships and mentoring teams in a fast-paced, collaborative environment.

This role offers exposure to SEC/FINRA rules, ongoing education, and opportunities for leadership within a growing practice.

Qualifications

• Bachelor’s degree required; MBA/MSF a plus.

Responsabilités

• Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAs.
• Evaluate current BD/RIA compliance program, identify deficiencies, and strengthen controls.
• Conduct independent testing or audits and suggest governance, monitoring, training and testing improvements.
• Respond to enforcement actions with corrective action plans aligned to regulatory expectations.
• Develop client relationships within banking/financial services; provide high-quality service.
• Plan, execute, review work papers, prepare reports, and wrap engagements.
• Communicate findings and potential process improvements to clients.
• Stay current with industry regulations and obtain relevant certifications.

Connaissances

Leadership

Client relationship management

Analytical thinking

Communication

Adaptability

Formation

Bachelor’s degree in Accounting, Finance, Business Administration, or Economics or related field

Description du poste

RSM US LLP in New York seeks a motivated Manager to lead financial services risk consulting engagements, focusing on BD/RIA regulatory compliance, governance, and risk assessment.

You will direct project planning, testing, reporting, and stakeholder communication, while developing client relationships and mentoring teams in a fast-paced, collaborative environment.

This role offers exposure to SEC/FINRA rules, ongoing education, and opportunities for leadership within a growing practice.