Supervisor Risk Consulting, Capital Markets Compliance

We 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. Youll find an environment that inspires and empowers you to thrive both personally and professionally. Theres no one like you and thats why theres nowhere like RSM.

Position Description

RSM is currently seeking a strong broker dealer and/or FCM IB Compliance professional to join a fast-growing team focused on giving our clients critical assistance in developing and maintaining compliance with financial regulations.

As a Supervisor in RSMs Global Financial Institutions Regulatory Compliance group you will be a key participant in the following activities:

• Manage and deliver assessments and other services covering 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 clients 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 strong 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
• Communicate with clients on the review process conclusions and potential improvements to the process.
• Stay abreast of changes in industry regulations and develop own competency through continuing education and by obtaining additional professional certifications

Minimum Experience/Skills

• Five years of experience in related compliance internal audit or other control-related functions in a national consulting firm or in the financial services industry
• Extensive knowledge and expertise of FINRA NFA compliance regulations and associated controls
• Experience in the design and implementation of consumer bank compliance programs
• Good verbal/written communication leadership and analytical skills
• Exemplary client service skills
• Ability to exercise independence of judgement and autonomy.
• Able to present to other team members
• High ethical standards
• Bachelors degree in a related field
• Ability to travel

Preferred Qualifications

• Prior experience working for a related regulator
• Diversified experience covering two or more of the areas listed above
• Staff management experience
• Strong organizational and time management skills with ability to manage multiple priorities and projects
• Experience in Compliance and/or Internal Audit at a financial institution
• Compliance or audit certifications (e.g. CRCM CIA securities registrations etc.)

At RSM we offer a competitive benefits and compensation package for all our offer flexibility in your schedule empowering you to balance lifes demands while also maintaining your ability to serve 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/ 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 or send us an email at .

RSM 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 employees 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.

Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.

Required Experience:

Manager