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, 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.
Position Description
RSM is currently seeking a strong broker-dealer (BD) and/or FCM/IB Compliance professional to join a fast-growing team focused on providing our clients critical assistance in developing and maintaining compliance with financial regulations.
As a Senior Associate in RSM's Global Bank Regulatory Compliance group, you will be a key participant in the following activities:
- Participate in assessments and other services covering BD and/or FCM/IB compliance for banks and other financial institutions
- Participate in the evaluation of the current state of the compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program
- Participate in the development and implementation of compliance policies and controls
- Participate in the independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.
- Participate in the response 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 relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations
- Participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
Minimum Experience/Skills
- Two+ years of experience in BD and/or FCM/IB compliance, internal audit or other control-related functions in a national consulting firm or in the financial services industry
- Strong knowledge of SEC, FINRA and/or CFTC, NFA compliance regulations and associated controls
- Experience in a regulatory body preferred
- Exposure to the design and implementation of compliance programs
- Good verbal/written communication, leadership, analytical and client service skills, and ability to present to other team members
- Ability to exercise independence of judgement and autonomy
- High ethical standards
- Bachelor’s degree in a related field
- Ability to travel
Preferred Qualifications
- Prior regulatory related work experience at either a regulator or a compliance or internal audit department at a financial institution
- Strong organizational and time management skills
- Relevant compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.) preferred
At RSM, we offer a competitive benefits and compensation package for all our people. 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 https://rsmus.com/careers/working-at-rsm/benefits.
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; 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; US Military/Veteran status; 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 800-274-3978 or send us an email at [email protected].
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.
RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.
At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.
Compensation Range: $73,500 - $139,700Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
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