Principal Regulatory Compliance Leader

Plante Moran; Chicago (IL); On-site; USD 130,000 - 180,000; Full time

Job summary

Plante Moran in Chicago is seeking a principal to supervise engagements and lead a range of services including compliance reviews, risk assessments, and policy reviews. The role emphasizes developing staff, driving revenue growth, and broader client management responsibilities.

This exempt position requires strong interpersonal and written communication skills, experience in financial crimes compliance, and the ability to manage multiple client engagements with travel of about 20%–30%.

Qualifications

• Bachelor's degree required.
• Minimum of 10 years of experience in the financial services industry.
• Prior experience in consulting or professional services is required.
• Well versed with financial crimes compliance or consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending).
• CAMS, CRCM, CERP, or similar designations are highly preferred
• Must have the ability to follow work plans and understand banking vocabulary
• The ability to have scoping meetings with prospective clients and be able to develop proposals and engagement letters.
• Ability to engage in client expansion, contributing to fees sold; recognizes the importance of lead generation
• Self-starter; ability to work under minimal supervision
• Complete projects within budget while delivering high quality
• Balance client, practice development, and administrative demands
• Strong interpersonal and written communication skills required
• Promote positive working relationships with diverse personalities/roles at all levels in the firm
• Frequent travel throughout the region, with approximately 20% - 30% travel.

Responsibilities

• Lead internal audit and consulting services related to the laws, regulations, and expectations associated with financial crimes compliance, consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending), and other general risk management activities such as model risk management and enterprise risk management programs.
• Manage and prioritize multiple client engagements while meeting agreed upon deadlines and ensuring frequent communication occurs with both internal and client stakeholders.
• Develop findings and recommendation reports and communicate the results with clients.
• Perform quality control reviews to ensure internal workpaper and deliverable standards are met.
• Supervise and develop team members in the areas of client engagement management and applied regulatory compliance knowledge.
• Assist in preparing and delivering proposals and engagement letters.
• Develop internal and external networks to further the business development goals of the practice.
• Participate in internal and external networking events, including client meetings, industry events, etc.
• Formal business development (prospecting to close) in a team-supported environment.

Skills

Leadership

Client engagement

Communication

Business development

Staff development

Regulatory knowledge

Education

Bachelor's degree

Job description

Plante Moran in Chicago is seeking a principal to supervise engagements and lead a range of services including compliance reviews, risk assessments, and policy reviews. The role emphasizes developing staff, driving revenue growth, and broader client management responsibilities.

This exempt position requires strong interpersonal and written communication skills, experience in financial crimes compliance, and the ability to manage multiple client engagements with travel of about 20%–30%.