rsm usGlens Falls, NY
Risk Consulting Manager - Capital Markets & Asset Management
Risk Consulting Manager - Capital Markets & Asset Management
Risk Consulting Manager - Capital Markets & Asset Management
rsm usGlens Falls, NY
2 days ago
Other Management Consulting ServicesAdministrative Management and General Management Consulting ServicesPortfolio Management and Investment Advice
Apply for this role (opens in a new tab)Position Description:
Due to rapid growth of our Financial Services Risk Consulting practice and the evolving risk landscape of our clients, RSM is seeking a highly motivated manager focused on giving our clients critical assistance to develop and maintain compliance with broker-dealers (BD) and registered investment advisers (RIA) regulations. As a manager in RSM’s growing Financial Services Risk Consulting practice, you will have the opportunity to draw from your experience and knowledge while continuing to grow your leadership skills through a high degree of client and financial services industry exposure, career development and mentorship opportunities, and a diverse and inclusive culture. The fast-paced and dynamic environment in which we operate will provide you with daily challenges and exciting opportunities.
Key Responsibilities:
- Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAs
- Evaluate the current state of the BD or RIA compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program
- Conduct independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.
- Respond 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
- Manage engagements (including planning, execution, workpaper review, 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.
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
- Contributions to Firm Culture: Model the core RSM values of respect, integrity, teamwork, excellence and stewardship in all interactions with clients and team members
- Collaborate with colleagues across a variety of levels and disciplines to develop and deliver innovative solutions that provide value to clients
- Maintain agility to adapt quickly to shifting needs, demands, technology solutions, or process changes and assist others in adapting to change
- Support RSM’s goals around diversity and inclusion by nurturing an environment that understands individuality, promotes authenticity, and values varied perspective in arriving at solutions
- Client Experience: Leverage understanding of industry trends and business acumen to think critically about complex challenges and propose dynamic solutions
- Identify current and relevant financial services industry thought leadership to share with the client
- Own management level relationships, and interact with C-suite group. Drive collaboration with external stakeholders
- Lead risk assessment management interviews and development of internal audit plan
- Perform review of the deliverables including process narratives/flowcharts, risks and control gaps, suggested remediation and process improvement
- Lead formal closing meetings with clients to share and confirm deliverables
- Maintain overall responsibility for engagement economics and manage expectations around billing, monitoring, and collections
- Demonstrate effective delegation strategies by managing multiple clients, projects, and teams simultaneously with the goal of overseeing a book of business
- Business Development: Participate in relevant industry associations and events to develop and/or maintain industry focus and relationships
- Build, maintain, and utilize your internal network to address issues timely and add value to client relationships; begin cultivating an external network with the goal of generating new business opportunities for the firm
- Assist in writing, developing and delivering thought leadership internally and externally
- Communicate effectively with prospects, assess needs, and develop clear and accurate project parameters including scoping descriptions, delivery plans, and budgets
- Contribute to pursuits through development of proposals and other materials
Required Qualifications
Education:
Bachelor's degree in Accounting, Finance, Business Administration, or Economics ore related field; advanced degree (MBA, MSF) a plus.
Experience:
4 + years of relevant professional experience, including prior experience at a Big Four or comparable national public accounting/consulting firm.
Regulatory Compliance Expertise: Demonstrated experience in broker-dealer and/or asset manager (RIA) regulatory compliance, with a focus on compliance with regulatory financial reporting, with working knowledge of applicable SEC and FINRA rules and examination priorities.
Enterprise Risk Management: Hands-on experience designing, assessing, or advising on ERM frameworks, risk assessments, and internal control environments.
Technical Skills:
Ability to lead internal audit, compliance testing, and advisory engagements - including scoping, work program design, testing, and reporting.
Preferred Qualifications
Certifications:
CPA, CIA, CRCM, CAMS, FRM, or Series 7/24/99 licenses.
Domain Depth: Familiarity with front-to-back operations of broker-dealers and/or investment advisers (e.g., trade lifecycle, custody, billing/AUM, net capital, books-and-records, AML/KYC).
Regulatory Reporting: Exposure to FOCUS reporting, Form ADV, Reg BI, and related regulatory filings.
Project Leadership: Experience managing multiple concurrent client engagements, budgets, and staff.
Core Competencies & Skills:
Leadership & People Management: Proven ability to lead, coach, and develop engagement teams and review deliverables for quality.
Client Relationship Management:
: Strong executive presence with the ability to build trust with client stakeholders and support business development.
Analytical Rigor: Detail-oriented, process-driven approach to complex regulatory and control environments.
Communication: Excellent written and verbal skills, including the ability to produce executive-ready deliverables and present findings to senior stakeholders.
Adaptability: Comfortable managing ambiguity across diverse client types, regulatory regimes, and business models.
Also on the board Same function, level within a rung
Level
Lead
Location
Glens Falls, NY
Occupation
Compliance Managers
Industry
Other Management Consulting Services
Posted
2 days ago