Manager– Securities Compliance QA (Global Banking)

RSM US LLP; Atlanta (GA); On-site; USD 74,000 - 110,000; Full time

Job summary

RSM US LLP is seeking a temporary Manager‑level Securities Compliance QA professional to support the Global Banking Practice. The role operates in the second line of defense, providing independent oversight, testing, and challenge of Broker‑Dealer and RIA compliance programs for banking and wealth management clients.

Key responsibilities include risk-based QA reviews, policy assessment, and ensuring regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act.

Qualifications

• 5+ years of securities compliance, compliance testing, QA, or regulatory oversight experience.
• Experience operating in a second line of defense.
• Strong knowledge of Broker‑Dealer and RIA regulatory requirements.
• Experience supporting large or complex banking/financial services organizations.
• Ability to work independently in a fast‑paced, client‑delivery environment.

Responsibilities

• Perform risk-based compliance QA reviews across Broker‑Dealer and RIA environments.
• Independently assess first line policies, procedures, supervisory controls, and surveillance programs.
• Validate regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
• Support regulatory examinations, issue validation, and remediation efforts.
• Identify control gaps, root causes, and emerging compliance risks impacting Global Banking clients.
• Partner with Compliance, Legal, Risk, and Business stakeholders to drive timely remediation.

Skills

Securities compliance

QA testing

Regulatory oversight

Second line of defense

Banking regulatory knowledge

Job description

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.

Manager – Securities Compliance QA (Global Banking )

Role Overview

RSM is seeking a temporary Manager‑level Securities Compliance QA professional to support the Global Banking Practice. This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker‑Dealer and RIA compliance programs for banking and wealth management clients.

Key Responsibilities

• Perform risk‑based compliance QA reviews across Broker‑Dealer and RIA environments.
• Independently assess first line policies, procedures, supervisory controls, and surveillance programs.
• Validate regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
• Support regulatory exams, issue validation, and remediation efforts.
• Identify control gaps, root causes, and emerging compliance risks impacting Global Banking clients.
• Partner with Compliance, Legal, Risk, and Business stakeholders to drive timely remediation.

Required Experience

• 5+ years of securities compliance, compliance testing, QA, or regulatory oversight experience.
• Experience operating in a second line of defense capacity.
• Strong knowledge of Broker‑Dealer and RIA regulatory requirements.
• Experience supporting large or complex banking / financial services organizations.
• Ability to work independently in a fast‑paced, client‑delivery environment.

Preferred

• Prior CCO, senior compliance, or regulatory remediation experience.
• Series 7, 24, 63, 65, 66 SIE (active or previously held).

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at [e-mail].

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.

At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.

Compensation Range: $54 - $80 per hour