Company:
RSM US LLP
Location: Chicago
Closing Date: 06/08/2024
Hours: Full Time
Type: Permanent
Job Requirements / Description
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, inclusive 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.
RSM's Regulatory Compliance group is currently seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. The Risk Advisory Services practice assists clients in managing operational, financial, compliance and technology risk, as well as designing and implementing process improvements that can lead to increased value, revenue, or cost containment. This position will lead and deliver regulatory compliance internal audits, assessments, model validations and other services at client locations within financial institutions.Position DescriptionDevelop 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
Experience RequiredApplication 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
Basic QualificationsBachelor'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 Midwest, as well as other regions as requested
Preferred QualificationsExceptional 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
At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your wellbeing by delivering personalized, holistic programming for your physical, emotional, financial and community wellbeing. RSM has a generous time off policy with at least 14 paid holidays, wellbeing days and associate and above access to self-managed time off. 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 .
RSM is proud to be an Affirmative Action and Equal Employment Opportunity employer.? We are proud to provide our employees with tools to assist them in being successful in achieving both personal and professional goals. We welcome and support all our employees to thrive in an environment free of discrimination and harassment. As an Affirmative Action and Equal Opportunity Employer all 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 (including gender identity and/or gender expression); 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; 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 (phone number removed) 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.
Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
RSM's Regulatory Compliance group is currently seeking a strong regulatory compliance resource to join our fast-growing Risk Advisory Services practice at the Manager level. The Risk Advisory Services practice assists clients in managing operational, financial, compliance and technology risk, as well as designing and implementing process improvements that can lead to increased value, revenue, or cost containment. This position will lead and deliver regulatory compliance internal audits, assessments, model validations and other services at client locations within financial institutions.Position DescriptionDevelop 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
Experience RequiredApplication 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
Basic QualificationsBachelor'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 Midwest, as well as other regions as requested
Preferred QualificationsExceptional 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
At RSM, we offer a competitive benefits and compensation package for all our people. We support and inspire you to prioritize your wellbeing by delivering personalized, holistic programming for your physical, emotional, financial and community wellbeing. RSM has a generous time off policy with at least 14 paid holidays, wellbeing days and associate and above access to self-managed time off. 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 .
RSM is proud to be an Affirmative Action and Equal Employment Opportunity employer.? We are proud to provide our employees with tools to assist them in being successful in achieving both personal and professional goals. We welcome and support all our employees to thrive in an environment free of discrimination and harassment. As an Affirmative Action and Equal Opportunity Employer all 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 (including gender identity and/or gender expression); 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; 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 (phone number removed) 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.
Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
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