Senior Manager, Risk & Regulatory Compliance
Forvis Mazars US
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Job summary
Forvis Mazars US seeks an experienced Senior Manager to join our Middle Market Risk & Regulatory practice. This role leads regulatory compliance engagements for community banks, credit unions, and regional financial institutions, serving as a primary client contact and establishing engagement scope, budgets, timelines, and staffing.
You will drive compliance reviews, risk assessments, and program evaluations, advising on regulatory expectations, and coordinating resources across the firm.
Qualifications
- Bachelor's degree in Accounting, Finance, Business, Risk Management, or a related field.
- 8+ years of experience in banking regulatory compliance, risk management, internal audit, regulatory affairs, or financial services consulting.
- Experience across multiple areas including regulatory compliance, compliance management systems, consumer compliance, compliance testing and monitoring, fair lending, CRA, HMDA, UDAAP/UDAP, BSA/AML, regulatory examinations, remediation, risk assessments, internal audit, third-party risk management, or fintech/banking-as-a-service compliance.
- Demonstrated experience leading regulatory compliance programs, risk initiatives, audits, or consulting engagements.
- Experience managing teams, project timelines, budgets, and deliverables while partnering with executive leadership, regulators, auditors, and other key stakeholders.
- Strong written, verbal, presentation, and executive-level communication skills.
- Ability to travel based on client and business needs.
Responsibilities
- Lead regulatory compliance engagements for community banks, credit unions, regional financial institutions, and other financial services organizations.
- 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 compliance reviews, risk assessments, gap analyses, and program evaluations.
- Assess the design and effectiveness of Compliance Management Systems.
- 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 regulatory compliance engagements.
- Perform engagement quality reviews and other technical reviews, as appropriate.
- Evaluate complex findings, conclusions, and recommendations for technical accuracy and practical applicability.
- Promote consistency, quality, and risk-based execution across engagement teams.
- Consult with engagement leaders and clients on complex or emerging regulatory matters.
- Support the development and maintenance of methodologies, tools, templates, and technical 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, fair lending, and fair banking risks.
- Advise clients 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 internal or external 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 the 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 new and existing client relationships.
- Represent Forvis Mazars at industry events, conferences, and professional associations.
- Contribute to strategic practice initiatives, service development, and market expansion.
Skills
Education
Job description
Forvis Mazars is seeking an experienced Senior Manager, to join our Middle Market Risk & Regulatory practice. This individual will lead regulatory compliance engagements for community banks, credit unions, regional financial institutions, and other financial services organizations.
- 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 compliance reviews, risk assessments, gap analyses, and program evaluations.
- Assess the design and effectiveness of Compliance Management Systems.
- 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 regulatory compliance engagements.
- Perform engagement quality reviews and other technical reviews, as appropriate.
- Evaluate complex findings, conclusions, and recommendations for technical accuracy and practical applicability.
- Promote consistency, quality, and risk-based execution across engagement teams.
- Consult with engagement leaders and clients on complex or emerging regulatory matters.
- Support the development and maintenance of methodologies, tools, templates, and technical 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, fair lending, and fair banking risks.
- Advise clients 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 internal or external 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 the 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 new and existing client relationships.
- Represent Forvis Mazars at industry events, conferences, and professional associations.
- Contribute to strategic practice initiatives, service development, and market expansion.
- Bachelor's degree in Accounting, Finance, Business, Risk Management, or a related field.
- 8+ years of experience in banking regulatory compliance, risk management, internal audit, regulatory affairs, or financial services consulting, including some experience advising clients in a consulting, advisory, or professional services capacity.
- Experience across multiple areas including regulatory compliance, compliance management systems, consumer compliance, compliance testing and monitoring, fair lending, CRA, HMDA, UDAAP/UDAP, BSA/AML, regulatory examinations, remediation, risk assessments, internal audit, third-party risk management, or fintech/banking-as-a-service compliance.
- Demonstrated experience leading regulatory compliance programs, risk initiatives, audits, or consulting engagements.
- Experience managing teams, project timelines, budgets, and deliverables while partnering with executive leadership, regulators, auditors, and other key stakeholders.
- Strong written, verbal, presentation, and executive-level communication skills.
- Ability to travel based on client and business needs.
- Relevant certifications such as CRCM, CAMS, AAP, CAFP, CIA, Commissioned Examiner, or other compliance, audit, or risk management designations
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Forvis Mazars, LLP is an independent member of Forvis Mazars Global, a leading global professional services network. Ranked among the largest public accounting firms in the United States, our 7,000+ team members deliver assurance, tax, and consulting services to clients in all 50 states and internationally.
With a legacy spanning more than 100 years, we're building something different. We are guided by a shared promise: Together, we create extraordinary experiences. That means delivering an Unmatched Client Experience® while creating a workplace where relationships matter, learning fuels growth, and every person feels valued and supported to thrive.
Our robust total rewards program and flexible work environment reflect our commitment to people, careers, and well-being-empowering our team to grow and thrive while delivering exceptional service. To explore what makes working at Forvis Mazars special, visit www.forvismazars.us/careers.
Forvis Mazars, LLP is an equal opportunity/affirmative action employer in accordance with applicable law. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, gender identity, or other protected classifications.
It is Forvis Mazars, LLP standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.
Forvis Mazars, LLP expressly reserves the right not to accept unsolicited referrals, resumes or CVs from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
Forvis Mazars, LLP further reserves the right not to pay a fee to a recruiter or recruiting agency unless such recruiter or recruiting agency has a signed vendor agreement with Forvis Mazars, LLP. Any resume(s) or CV(s) submitted to anyone working for Forvis Mazars, LLP, or submitted to a Forvis Mazars, LLP general email, without having a Forvis Mazars, LLP vendor agreement in place, will be considered the property of Forvis Mazars, LLP.
Pursuant to the pay transparency laws of New York State and other local ordinances within the state including (but not limited to) New York City, the salary range displayed is for the New York markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.
NY Minimum Salary (USD)
$ 149,300
NY Maximum Salary (USD)
$ 229,700
Pursuant to New Jersey's Pay Transparency Law, the salary range displayed is for the New Jersey market. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Positions that are non-exempt will be eligible for overtime pay compensable at a rate of one and a half times the hourly rate for any hours worked over 40 in a work week. Benefits are eligibility-based and could include group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.
NJ Minimum Salary (USD)
$ 149300
NJ Maximum Salary (USD)
$ 229700
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