Lead Financial Services Risk & Compliance (BD/RIA)

RSM US LLP; Salt Lake City (UT); Hybrid; USD 101,000 - 203,000; Full time

Job summary

RSM US LLP seeks a Manager for Financial Services Risk Consulting to advise broker‑dealers and registered investment advisers. Lead assessments, design controls, and guide enforcement-response strategies for a growing practice. You will mentor teams, manage client engagements, and stay current with evolving regulations.

The role offers significant client exposure, leadership development, and a collaborative, inclusive environment within a fast‑paced consulting setting.

Qualifications

• Bachelor's degree in Accounting, Finance, Business Administration, or Economics or related field.
• 4+ years of relevant professional experience, including prior experience at a Big Four or comparable national public accounting/consulting firm.
• Regulatory compliance expertise in broker-dealer and/or asset manager (RIA) regulatory compliance with knowledge of SEC and FINRA rules.
• Hands-on experience designing, assessing, or advising on ERM frameworks, risk assessments, and internal control environments.
• Ability to lead internal audits, compliance testing, and advisory engagements—scoping, testing, and reporting.

Responsibilities

• Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAs.
• Evaluate the current state of the BD or RIA compliance program, identify deficiencies to enhance controls, and provide advice to strengthen the program.
• Conduct independent testing or audits of all aspects of the client's compliance program and suggest improvements for governance, monitoring, training and testing.
• Respond to enforcement actions with corrective action plans ensuring a sustainable compliance program.
• Develop relationships with clients in banking and financial services, delivering high-quality client service and managing engagements.

Skills

Leadership

Client Relationships

Analytical Rigor

Communication

Regulatory Compliance

Adaptability

Education

Bachelor's degree in Accounting/Finance/Business

MBA/MSF (plus)

Job description

RSM US LLP seeks a Manager for Financial Services Risk Consulting to advise broker‑dealers and registered investment advisers. Lead assessments, design controls, and guide enforcement-response strategies for a growing practice. You will mentor teams, manage client engagements, and stay current with evolving regulations.

The role offers significant client exposure, leadership development, and a collaborative, inclusive environment within a fast‑paced consulting setting.