Risk Consulting Manager, BD/RIA Compliance

RSM US LLP; Dallas (TX); On-site; USD 101,000 - 203,000; Full time

Job summary

RSM US LLP seeks a motivated manager for its Financial Services Risk Consulting practice to help clients achieve robust BD/RIA regulatory compliance. You will lead assessments, design controls, and advise on governance and testing.

You will manage multi-client engagements, collaborate with senior stakeholders, and stay current on evolving regulations. This role emphasizes delivery excellence, client service, and growth in financial services risk consulting.

Qualifications

• 4+ years of relevant professional experience, including Big Four or comparable firm.
• Regulatory compliance expertise in broker-dealer/asset manager (RIA).
• Experience with ERM frameworks, risk assessments and internal controls.
• Ability to lead internal audit, compliance testing, and advisory engagements.

Responsibilities

• Manage assessments and services covering regulatory compliance for BDs and RIAs.
• Evaluate and strengthen BD/RIA compliance programs and governance.
• Conduct independent testing, audits, and remediate deficiencies.
• Lead engagements from planning to final reporting and billing.

Skills

Leadership

Client relationships

Analytical rigor

Communication

Adaptability

Education

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

MBA/MSF (plus)

Job description

RSM US LLP seeks a motivated manager for its Financial Services Risk Consulting practice to help clients achieve robust BD/RIA regulatory compliance. You will lead assessments, design controls, and advise on governance and testing.

You will manage multi-client engagements, collaborate with senior stakeholders, and stay current on evolving regulations. This role emphasizes delivery excellence, client service, and growth in financial services risk consulting.