Risk & Compliance Manager, Financial Services - Flexible

RSM; New York (NY); On-site; USD 101,000 - 203,000; Full time

Job summary

RSM is seeking a Manager in Financial Services Risk Consulting in New York to help clients develop and maintain BD/RIA regulatory compliance programs. You will lead engagements, assess controls, and deliver actionable improvements while mentoring teams in a fast-paced environment.

Ideal candidates have a Bachelor's in a related field, 4+ years of experience at a Big Four or national firm, and strong knowledge of SEC/FINRA rules; CPA or other certifications are a plus.

Qualifications

• Bachelor's degree in Accounting, Finance, Business Administration, or Economics; MBA/MSF a plus.
• 4+ years of relevant professional experience, Big Four or national firm preferred.
• Regulatory compliance expertise for broker-dealers and asset managers with SEC/FINRA knowledge.
• ERM frameworks, risk assessments, and internal controls experience.

Responsibilities

• Manage and deliver assessments covering BD/RIA regulatory compliance.
• Evaluate current BD/RIA programs, identify deficiencies, and strengthen controls.
• Conduct independent testing and advise on governance, monitoring, training, and testing.
• Respond to enforcement actions with corrective action plans.
• Build client relationships in banking and financial services; manage engagements.
• Plan, execute, review workpapers, prepare reports, and close engagements.
• Communicate findings and opportunities for process improvements to clients.
• Stay updated on regulatory changes and pursue professional certifications.

Skills

BD/RIA regulatory compliance

Leadership

Client relationship management

Internal controls

Project management

Education

Bachelor's degree in Accounting/Finance/Business Admin/Economics

MBA/MSF (plus)

Job description

RSM is seeking a Manager in Financial Services Risk Consulting in New York to help clients develop and maintain BD/RIA regulatory compliance programs. You will lead engagements, assess controls, and deliver actionable improvements while mentoring teams in a fast-paced environment.

Ideal candidates have a Bachelor's in a related field, 4+ years of experience at a Big Four or national firm, and strong knowledge of SEC/FINRA rules; CPA or other certifications are a plus.