Senior Associate, Risk Consulting (Capital Markets Compliance)
$73.5k - $139.7kRsm Us Llp.
- # Senior Associate, Risk Consulting (Capital Markets Compliance)Applylocations: Dallas: New Yorktime type: Full timeposted on: Posted Todayjob requisition id: JR119479We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.**Position Description**RSM is currently seeking a strong broker-dealer (BD) and/or FCM/IB Compliance professional to join a fast-growing team focused on providing our clients critical assistance in developing and maintaining compliance with financial regulations.As a Senior Associate in RSM's Global Bank Regulatory Compliance group, you will be a key participant in the following activities:* Participate in assessments and other services covering BD and/or FCM/IB compliance for banks and other financial institutions* Participate in the evaluation of the current state of the compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program* Participate in the development and implementation of compliance policies and controls* Participate in the independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.* Participate in the response to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices.* Develop relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations* Participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion* Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications**Minimum Experience/Skills*** Two+ years of experience in BD and/or FCM/IB compliance, internal audit or other control-related functions in a national consulting firm or in the financial services industry* Strong knowledge of SEC, FINRA and/or CFTC, NFA compliance regulations and associated controls* Experience in a regulatory body preferred* Exposure to the design and implementation of compliance programs* Good verbal/written communication, leadership, analytical and client service skills, and ability to present to other team members* Ability to exercise independence of judgement and autonomy* High ethical standards* Bachelor’s degree in a related field* Ability to travel**Preferred Qualifications*** Prior regulatory related work experience at either a regulator or a compliance or internal audit department at a financial institution* Strong organizational and time management skills* Relevant compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.) preferredAt RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at View phone number on click.appcast.io or send us an email at View email address on click.appcast.io does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.Compensation Range: $73,500 - $139,700Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
- J-18808-Ljbffr Rsm Us Llp.
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Senior Associate, Risk Consulting (Capital Markets Compliance) in New York, NY vacancy
$210k
FSI/Senior Principal - Capital Markets - Business Consulting Domain: Consulting Interest Group: Company... ...of client attrition risk Virtual Assistant - Cognitive... ...and Customer Support Associates in Salesforce. Single... ...to post content (compliance approved) to multiple social...SeniorRiskFull timeTemporary workWork experience placementWork at officeRemote workWork from homeFlexible hours- ...Senior Associate or Vice President, Capital Markets About the Company Accomplished investment firm Industry Investment Management Type Privately... ...and providing support for treasury and interest rate risk management. The role also involves market...SeniorRisk
$120k - $160k
A consulting and technology services group is seeking a Compliance Risk Assessment Officer for their office in New York. This hybrid role involves leading the annual Compliance Risk Assessment, managing compliance risks, and collaborating with various stakeholders. Candidates...SeniorRiskWork at office$120k - $200k
A global consulting and technology firm is seeking a Compliance Risk Assessment Officer in New York. This role involves leading the annual Compliance Risk Assessment... ...compliance risks, and preparing reports for senior management. Candidates should have a minimum of 8...SeniorRisk- A global consulting firm is seeking a Compliance Risk Assessment Officer in New York for a hybrid role. This position involves leading the annual Compliance Risk Assessment process, identifying compliance risks, and collaborating with various stakeholders to manage and...SeniorRisk
$150k - $200k
.... Our mission is to enhance lives and legacies. Senior Associate/Vice President, Capital Markets - Quantitative & Structured Solutions New York, New York... ...discussions on concentrated positions, liquidity, and risk management Translate technical strategies into...SeniorRiskJordan Park Group
New York, NY4 days ago$120k - $160k
An international consulting firm is seeking a Compliance Risk Assessment Officer in New York to lead the annual Compliance Risk Assessment process. This role requires at least 8 years of experience in Compliance, Risk Management, or related fields. Key responsibilities...SeniorRisk- ...Infosys is seeking a Senior Client Partner for its Capital Markets. The person will lead all the client interfaces... ...market share, reducing cost, prudent risk management, and improving client... ...• Wide variety of IT and business consulting engagement experience •...SeniorRisk
Infosys
New York, NY3 days ago $90k - $180k
...Technical Business Analyst, Capital Markets We are seeking an experienced... ...data flows, and supporting compliance with regulatory reporting standards... ...of trade lifecycles and risk processes. Knowledge of one... ...’s fastest growing digital consulting company with a global...RiskTemporary workRemote workBIP
New York, NY3 days ago- ...growth AI company seeking a Senior Counsel to help scale the legal... ...support M&A, financing, and capital markets matters Partner cross-... ...regulatory, litigation, and compliance issues Build practical legal... ...business teams on strategic legal risk Qualifications 6+ years of...SeniorRisk
$80k - $166k
...Business Transformation Consultant From the beginning, our goal... ...solutions spanning accounting and risk, technology-enabled... ...drive day-to-day delivery on capital markets transformation programs with... ...processes across risk, finance, compliance. Familiarity with vendor...SeniorRiskLocal areaFlexible hoursCrossCountry Consulting
New York, NY1 day ago$114k - $143k
...Senior Consultant - Capital Markets, Program Manager Location: NYC, USA (Onsite) | Practice Area: Business Consulting | Type: Permanent Lead a... ...readiness and advanced analytics capabilities Manage program risks, issues, and dependencies, ensuring timely escalation and...SeniorRiskPermanent employmentCapco
New York, NY6 days ago- ...Audit execution** - Assess key business risks and evaluate the design and operating... ...partners of best practices and promote compliance with CIBC policies and procedures, accounting... ...Management principles and knowledge of Capital Markets within a large financial institution....SeniorRisk
$175k - $200k
...focused investment bank. Our team of senior professionals delivers a wide... ...to hire a highly motivated compliance professional to cover our equity and debt capital markets business activities. This is a... ...compliance matters and transactional risk Advise on cross-border...SeniorRiskPJT Partners
New York, NY2 days ago$130k - $152.5k
...Senior Associate/Privacy Specialist (Forensic Services Practice... ...is a leading global consulting firm that provides... ...misconduct, and non-compliance. We are noted for deploying... ...flow audits, and risk analysis across... ...geographic location, market conditions, and other...SeniorRiskWork at officeWork from home3 days per weekCharles River Associates
New York, NY1 day ago$142k - $263.5k
...stay ahead. We're consulting done different. While... ...Job Summary Senior Manager is a... ...specifically the marketing strategy practice... ...Identifiespotential risks, develops mitigationstrategiesand... ...feedback to associates on their... ...Intellectual Capital ~ Builds andmaintainstechnical...SeniorRiskStart working todayLocal areaRemote workPoint B
New York, NY2 days ago$130k - $152.5k
...Senior Associate/Digital Forensics, Incident Response & Cybersecurity... ...is a leading global consulting firm that provides... ...misconduct, and non-compliance. We are noted for... ...; Managing risk by implementing quality... ...geographic location, market conditions, and other...SeniorRiskWork at officeLocal areaWork from home3 days per weekCharles River Associates
New York, NY2 days ago$111.2k - $126.9k
...Senior Business Analyst - Liquidity, Market, and Capital Risk Oversight Summary: As a Senior Business... .... Previous consulting experience is a plus... ...subject to the pay range associated with that location, and... ...non-discrimination in compliance with applicable federal...SeniorRiskFull timeTemporary workPart timeBank staffLocal areaCapital One
New York, NY7 days ago$75k - $105k
...week Overview New York Life is seeking an Associate / Senior Associate to support the buildout and execution of its capital markets and strategic partnership platform within the... ...fit, execution considerations, and risk assessment. Contribute to executive presentations...SeniorRiskWork at officeLocal area$100k - $170k
Senior Associate, HR M&A Alvarez & Marsal (A&M) is a global consulting firm with over 10,000 entrepreneurial, action‑and‑results‑oriented... ...a broad range of human capital support to clients on both the... ...room, providing calculations of risk and exposure to key HR issues,...SeniorRiskFull timePart timeWork at officeFlexible hours$80k - $209.3k
...competitive advantage in the markets we serve. We are... ...and Model Consultant Senior within PNC's Model Risk Management organization... ...reviews of PNC's Capital Markets models, including... ...reports and associated quantitative analysis... ...and regulatory compliance, using applicable templates...SeniorRiskFull timeTemporary workPart timeWork experience placementWork at officePNC Financial Services Group
New York, NY2 days ago$100k - $125k
...& Marsal (A&M) is a global consulting firm with over 10,000 professionals... ...Team A&M’s Infrastructure & Capital Projects (INFRA) practice is... .... We are seeking a Senior Associate to join our INFRA practice,... ...analysis to identify trends, risks, and opportunities; develop...SeniorRiskPart timeFlexible hours$77k - $202k
Overview As a PwC Healthcare Consulting Actuary, you will be part of our exciting, growing team... ...their strategy and thinking to maintain market share, margins, and achieve cost savings.... ...financial reporting, data analysis, and risk adjustment. Helping companies define and...SeniorRiskH1b- U.S. Bank in New York is seeking a Senior Credit Risk Approver to oversee credit risk across capital markets. The ideal candidate will have extensive experience in credit... ...include approving credit risks, ensuring compliance with regulations, and collaborating across business...SeniorRisk
- ...Vialto Partners is a market leader in global mobility services... ...on providing cross-border compliance and risk assessment for tax, immigration... ...their return on human capital investments. Job Description... ...and detail-oriented Senior Associate to join our Global Compensation...SeniorRiskFull timeWork at officeRemote workShift work
Vialto Partners
New York, NY4 days ago $120k - $205k
...in-house attorney to support senior legal coverage to the public... ...other internal legal and compliance professionals, including the... ...Advising the Municipal Capital Markets, Client Finance and Capital... ...regulations to operations, risk management, compliance, accounting...RiskTemporary workMorgan Stanley
New York, NY4 days ago$120k - $160k
A leading consulting firm is seeking a Compliance Risk Assessment Officer in New York to lead the annual Compliance Risk Assessment process. The role... ...compliance, risk management, or audit, especially within capital markets. Responsibilities include identifying and managing...SeniorRisk$90k - $100k
Senior Associate, Multi Strategy ESG Advisory Malk Partners, now part of SLR Consulting, is a consulting firm that advises many... ...successful investors on risk management and... ...secondaries, venture capital, and hedge funds. Malk... ...proposal decks and market/industry research....SeniorRiskWork experience placementWork at officeShift work$150k - $170k
...billion in debt and equity capital to support North... ...About the Role: As a Senior Associate, you will play a key role... ...and leading asset market and trading activities... ...Formulate and implement risk management and trading strategies, ensuring compliance with strategic objectives...SeniorRiskTemporary work- Position Summary: The Senior Member Engagement Associate (SMEA) position is an engagement... ...products within the Human Capital (HC) Center. The SMEA also... ...negotiations, saving at-risk members, invoicing, and accounts... ...member engagement; e.g., marketing, new product development,...SeniorRiskContract workWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Associate, Risk Consulting (Capital Markets Compliance). Be the first to apply!
Related searches
- search associate New York, NY
- IT associate New York, NY
- revenue cycle associates New York, NY
- technology transfer associate New York, NY
- design associate New York, NY
- trust associate New York, NY
- drug safety associate New York, NY
- associate attorney New York, NY
- online associate New York, NY
- benefits associate New York, NY