Senior Manager, Financial Regulatory Compliance & Risk

Forvis Mazars US; New York (NY); On-site; USD 112,000 - 175,000; Full time

Job summary

Forvis Mazars US is seeking an experienced Senior Manager to join our Middle Market Risk & Regulatory practice in New York. You will lead regulatory compliance engagements for community banks, credit unions, regional financial institutions, and other financial services organizations.

You will guide engagement teams, manage budgets and timelines, and advise executives, boards, and regulators on regulatory expectations and implementation of risk programs.

Qualifications

• Bachelor's degree required in Accounting, Finance, Business, Risk Management, or a related field.
• 5+ years of banking regulatory compliance, risk management, internal audit, regulatory affairs, or financial services consulting.
• Experience across multiple regulatory areas including consumer compliance, testing and monitoring, fair lending, CRA, HMDA, UDAAP/UDAP, BSA/AML, regulatory examinations, remediation.
• Demonstrated experience leading regulatory compliance programs, risk initiatives, audits, or consulting engagements.
• Experience managing teams, timelines, budgets, and deliverables with executive stakeholders.

Responsibilities

• Lead complex regulatory compliance consulting, internal audit, testing, and remediation engagements.
• Serve as a primary relationship contact for assigned clients.
• Establish engagement scope, workplans, budgets, timelines, and staffing requirements.
• Monitor engagement economics, delivery quality, and client satisfaction.
• Communicate findings and recommendations to executive management, boards, audit committees, and regulators.
• Identify emerging client needs and coordinate appropriate resources across the firm.
• Build and maintain trusted relationships with financial institution executives and other key stakeholders.
• Lead regulatory reviews, risk assessments, gap analyses, and program evaluations.
• Advise clients on regulatory expectations, emerging risks, and leading practices.
• Evaluate and enhance policies, procedures, controls, monitoring programs, and governance structures.
• Oversee compliance testing and monitoring activities.
• Lead regulatory remediation and corrective action initiatives.
• Support regulatory change management and implementation efforts.
• Provide technical leadership and review across engagements.
• Perform engagement quality reviews and other technical reviews.
• Evaluate complex findings for accuracy and applicability.
• Promote consistency, quality, and risk-based execution across teams.
• Consult with engagement leaders and clients on complex regulatory matters.
• Support development of methodologies, tools, templates, and guidance.
• Lead reviews of consumer lending and deposit compliance programs.
• Oversee fair lending risk assessments, reviews, and disparity analyses.
• Evaluate HMDA processes, controls, data integrity, and reporting.
• Assess lending operations for compliance and fair banking risks.
• Advise on CRA program governance, risk management, and regulatory readiness.
• Provide guidance regarding UDAAP/UDAP, complaints, and consumer protection risks.
• Lead or support BSA/AML program assessments, independent reviews, and remediation efforts.
• Evaluate enterprise and business-line risk assessments and control environments.
• Assess controls related to higher-risk customers, products, services, transactions, and geographies.
• Advise management and boards regarding program governance, regulatory expectations, and emerging risks.
• Assist clients in preparing for regulatory examinations and audits.
• Advise management on examination strategy, document production, and responses to regulatory inquiries.
• Evaluate findings, action plans, and remediation efforts.
• Facilitate communication among management, boards, regulators, internal auditors, and external auditors.
• Lead validation and sustainability reviews of completed corrective actions.
• Lead, coach, and develop engagement teams.
• Provide timely feedback and support professional development of managers, consultants, and associates.
• Assist with workforce planning, staffing, recruiting, and performance management.
• Develop proposals, scopes of work, presentations, thought leadership, and client solutions.
• Participate in business development activities and cultivate client relationships.
• Represent Forvis Mazars at industry events and associations.
• Contribute to strategic practice initiatives, service development, and market expansion.

Skills

Regulatory compliance

Internal audit

Client relationship management

Project management

Financial services consulting

Education

Bachelor's degree in Accounting, Finance, Business, Risk Management, or a related field

Job description

Forvis Mazars US is seeking an experienced Senior Manager to join our Middle Market Risk & Regulatory practice in New York. You will lead regulatory compliance engagements for community banks, credit unions, regional financial institutions, and other financial services organizations.

You will guide engagement teams, manage budgets and timelines, and advise executives, boards, and regulators on regulatory expectations and implementation of risk programs.