RSM - Senior Associate - Regulatory Compliance

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. 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.

RSM is seeking a Regulatory Compliance professional with experience performing internal audits, anti-money laundering, lending and/or deposit compliance reviews and testing for financial institutions to join our Risk Consulting team. The individual should be self-motivated and seeking a career in a fast-paced and evolving environment.

Position Description:

- Manage and deliver assessments and other services covering regulatory compliance for banks, credit unions, broker dealers and other financial institutions

- Perform BSA/AML/OFAC independent testing for community based financial institutions, including credit unions

- 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

- Identify areas of non-compliance with banking laws and regulations and provide actionable recommendations.

- Demonstrate expertise in lending and deposit compliance and BSA

- Communicate with clients on the review process, conclusions and potential improvements to the process.

- Provide timely, high quality client service that meets or exceeds client expectations

- Demonstrate knowledge in various facets of risk advisory services

- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications

Experience Required:

- 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

Basic Qualifications:

- Bachelor degree in accounting, finance or related business field and or a law degree

- Minimum 2 years of regulatory compliance experience in financial institutions

- Demonstrated understanding of banking laws and regulations, including, but not limited to, Fair Credit Reporting Act (FCRA), Truth in Lending Act (TILA), Home Mortgage Disclosure Act (HMDA), Fair Lending, and Truth in Savings Act (TISA), Bank Secrecy Act (BSA) and other related regulatory requirements.

- Knowledge of consumer financial products and services, such as deposit accounts, savings accounts, mortgages, consumer loans, and credit cards.

- 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

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

- Understanding of FINRA and SEC rules

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