Manager, Regulatory Compliance Consulting
RSM International
- Los Angeles, CA
- $92,100-185,400 per year
- Permanent
- Full-time
- Develop strong relationships with existing clients and prospective clients within banking and financial services industries to enable effective sales
- Manage and deliver assessments and other services covering regulatory compliance for banks, credit unions, broker dealers and other financial institutions
- Manage engagements (including planning, execution, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion
- Communicate with clients on the review process, conclusions and potential improvements to the process.
- Conduct documentation, workpaper and client report review
- Provide timely, high quality client service that meets or exceeds client expectations
- Demonstrate knowledge in various facets of risk advisory services
- Provide consulting advice that enables clients to increase shareholder value
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
- Application of regulatory compliance expertise in a consulting, financial institution or regulatory environment
- Development, implementation and/or evaluation of policies, procedures and processes to meet regulatory needs
- Supervisory experience in a financial institution
- Bachelor's degree in accounting, finance or related business field and or a law degree
- Eight+ years of regulatory compliance experience in financial institutions
- Experience with a national or regional public accounting firm, or at a financial institution as a regulatory compliance officer or internal auditor, or with a regulatory agency
- Regulatory compliance internal audit experience a plus
- Previous project management and staff management experience
- Exemplary client service skills
- Ability to travel locally and regionally in the West, as well as other regions as requested
- Exceptional verbal/written communication, leadership and analytical skills needed to manage project teams, review workpapers, prepare client reports, and present results to clients in a timely manner
- Strong organizational and time management skills with ability to manage multiple priorities and projects
- CRCM, CAMS, CCBCO, AMLP or other regulatory compliance certification preferred
- CIA, CPA certifications a plus
- Understanding of regulations and/or banking regulations (e.g., TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.)
- Understanding of FINRA and SEC rules