Securities Compliance QA Manager - Global Banking
RSM US LLP
RSM US LLP is seeking a temporary Manager‑level Securities Compliance QA professional to support the Global Banking Practice. The role operates in the second line of defense, providing independent oversight, testing, and challenge of Broker‑Dealer and RIA compliance programs for banking and wealth management clients. Key responsibilities include risk-based QA reviews, policy assessment, and ensuring regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act. #J-18808-Ljbffr RSM US LLP
Vacancy posted 2 days ago
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