Manager, Financial Services Risk & Compliance (BD/RIA)

RSM US LLP; Dallas (TX); Hybrid; USD 101,000 - 203,000; Full time

Benefits offered by this job

Discretionary bonus

Job summary

RSM US LLP seeks a Manager to lead regulatory compliance services for broker-dealers and registered investment advisers (RIAs) within its Financial Services Risk Consulting practice. You will guide assessments, testing, and remediation efforts, while managing engagements and developing client relationships.

The role emphasizes staying current with SEC/FINRA rules, mentoring teams, and delivering high-quality client service in a collaborative, inclusive culture.

Qualifications

• Bachelor's degree required; MBA/MSF a plus.
• 4+ years of relevant professional experience in public accounting/consulting.
• Regulatory compliance experience in broker-dealer and/or asset manager (RIA).
• ERM frameworks, risk assessments and internal control knowledge.
• Ability to lead internal audit, compliance testing, and advisory engagements.

Responsibilities

• Manage and deliver assessments and services covering regulatory compliance for BDs and RIAs.
• Evaluate current BD/RIA compliance programs to identify deficiencies and strengthen controls.
• Conduct independent testing, audits, and provide governance, monitoring, and training recommendations.
• Develop corrective action plans for enforcement responses ensuring sustainability and regulatory alignment.
• Cultivate client relationships and manage engagements, planning, execution, and reporting.
• Communicate review results and potential improvements to clients.
• Stay current on industry regulations and pursue additional professional certifications.
• Lead teams and assist in delivering high-quality client service.

Skills

Leadership & People Management

Client Relationship Management

Analytical Rigor

Communication

Adaptability

Education

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

Job description

RSM US LLP seeks a Manager to lead regulatory compliance services for broker-dealers and registered investment advisers (RIAs) within its Financial Services Risk Consulting practice. You will guide assessments, testing, and remediation efforts, while managing engagements and developing client relationships.

The role emphasizes staying current with SEC/FINRA rules, mentoring teams, and delivering high-quality client service in a collaborative, inclusive culture.