Manager, Financial Services Risk & Compliance (BDs/RIAs)

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

Résumé du poste

RSM US LLP is seeking a manager to join the Financial Services Risk Consulting practice, focusing on helping broker-dealers (BDs) and registered investment advisers (RIAs) maintain regulatory compliance. You will lead assessments, testing, and advisory work while developing client relationships and mentoring teams.

The role offers exposure to governance, controls, and regulatory priorities, with opportunities for professional growth in a dynamic, collaborative environment and a flexible hybrid

Qualifications

• Bachelor's degree in Accounting, Finance, Business Administration, or Economics or related field.
• MBA/MSF is a plus.
• 4+ years of relevant professional experience, including at a Big Four or comparable firm.
• Regulatory compliance expertise in broker-dealer and/or asset manager (RIA).
• ERM frameworks, risk assessments, and internal control environments.

Responsabilités

• Manage and deliver regulatory compliance assessments for BDs and RIAs.
• Evaluate BD/RIA compliance programs and identify deficiencies to enhance controls.
• Conduct independent testing or audits of the compliance program and suggest improvements.
• Develop corrective action plans aligned with regulatory expectations and industry practices.
• Build strong client relationships and manage engagement planning, execution, and reporting.
• Lead engagement planning, delivery, and closure, including documentation and risk assessment.

Connaissances

Leadership & People Management

Client Relationship Management

Analytical Rigor

Communication

Adaptability

Formation

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

MBA, MSF a plus

Outils

CPA

CIA

CRCM

CAMS

FRM

Series 7/24/99 licenses

Description du poste

RSM US LLP is seeking a manager to join the Financial Services Risk Consulting practice, focusing on helping broker-dealers (BDs) and registered investment advisers (RIAs) maintain regulatory compliance. You will lead assessments, testing, and advisory work while developing client relationships and mentoring teams.

The role offers exposure to governance, controls, and regulatory priorities, with opportunities for professional growth in a dynamic, collaborative environment and a flexible hybrid