Risk Advisory - Regulatory Compliance Manager
Location:
Chicago , Illinois
Posted:
November 17, 2017
Reference:
req1796

Consulting Manager – AML & Regulatory Compliance

 

RSM's AML & 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 BSA/AML and regulatory compliance internal audits, assessments, model validations and other services at client locations within financial institutions in the Great Lakes Region. Successful candidates will be based in our Chicago, Illinois office.

Position Description
-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 BSA/AML and 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 Required
-Application of BSA/AML and/or 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 Qualifications
-Bachelor degree in accounting, finance or related business field and or a law degree
- Eight+ years BSA/AML and/or 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
- BSA/AML and/or 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 Qualifications
-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 BSA/AML 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



A little about us:
The leading provider of audit, tax & consulting services focused on the middle market.

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