Regulatory Compliance Principal: Financial Crimes & Risk

Plante Moran; Denver (CO); On-site; USD 175,000 - 225,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) plan

Discretionary bonus

Pension plan

Flexible time off

Job summary

Plante Moran seeks a seasoned principal to supervise engagements in financial crimes compliance and risk management. You will lead audits, develop staff, and drive engagement profitability while expanding client relationships.

You will manage multiple client engagements, deliver findings, and maintain high-quality workpapers. The role requires travel across the region and a proven consulting background in financial services.

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 financial crimes compliance, consumer protection laws and regulations, and other general risk management activities.
• Manage and prioritize multiple client engagements while meeting deadlines and ensuring frequent communication with internal and client stakeholders.
• Develop findings and recommendation reports and communicate results with clients.
• Perform quality control reviews to ensure internal workpapers and deliverables meet standards.
• Supervise and develop team members in client engagement management and regulatory knowledge.
• Assist in preparing and delivering proposals and engagement letters.
• Develop internal and external networks to drive practice growth.
• Participate in internal and external networking events, including client meetings and industry events.
• Engage in formal business development from prospecting to close in a team-supported environment.

Skills

Leadership & staff development

Consulting experience

Financial crimes compliance knowledge

Interpersonal & written communication

Client engagement management

Education

Bachelor’s degree

Tools

CAMS

CRCM

CERP

Job description

Plante Moran seeks a seasoned principal to supervise engagements in financial crimes compliance and risk management. You will lead audits, develop staff, and drive engagement profitability while expanding client relationships.

You will manage multiple client engagements, deliver findings, and maintain high-quality workpapers. The role requires travel across the region and a proven consulting background in financial services.