Regulatory Compliance (Consumer Compliance/AML/Broker Dealer/Asset Mgmt) Mgrs and Sr. Mgrs needed for Global Advisory Firm
Financial Services Office- Regulatory Compliance Managers/Sr. Mgrs
We currently are seeking highly motivated Managers and Sr. Mgrs to manage client engagement teams, work with a wide variety of clients to deliver professional services, and lead business development activities on strategic and global priority accounts.
Our client's Financial Services Risk Management (FSRM) practice focuses on financial services risk management, trading, regulatory, quantitative, technology, operations and accounting backgrounds. The breadth of experiences of FSRM professionals enable the practice to coordinate the delivery of a broad array of risk management services to capital market participants throughout the world in a well integrated manner.
Within FSRM, the Regulatory Compliance Teams (Consumer/AML/Broker Dealer/Asset Mgmt) focus on the following services to financial services organizations:
Compliance program assessment
Compliance program design and implementation assistance
Development of compliance policies and procedures
Compliance program testing
Regulatory inquiry assistance
Responsibilities
Effectively manage and motivate client engagement teams with diverse skills and backgrounds. Provide constructive on-the-job feedback/coaching to team members. Foster an innovative and inclusive team-oriented work environment. Play an active role in counseling and mentoring junior consultants within the organization.
Foster relationships with client personnel at appropriate levels. Consistently deliver quality client services. Drive high-quality work products within expected timeframes and on budget. Monitor progress, manage risk and ensure key stakeholders are kept informed about progress and expected outcomes. Manage expectations of client service delivery. Stay abreast of current business and industry trends relevant to the client's business.
Demonstrate in-depth technical capabilities and professional knowledge. Demonstrate ability to quickly assimilate to new knowledge. Possess good business acumen. Remain current on new developments in advisory services capabilities and industry knowledge.
To qualify, candidates must have:
a bachelor's degree and approximately 5 years of related work experience; or a graduate degree and approximately 4 years of related work experience
a degree in finance, economics, accounting, engineering or a related discipline; MBA or MS preferred
relevant experience in one or more of the following areas of Compliance:
knowledge with the investment advisors act of 1934, SEC OCIE or Trading and Markets (or both) Enforcement experience. Dodd-Frank rules, specifically OTC Derivatives and Volker Rules specific to compliance (new SEC and FINRA rulemaking).
emergence of “fairness standards”, mortgage litigation, remediation, working knowledge of key regulations such as Fair Lending, HMDA/CRA, RESPA, and Truth-in-Lending, among others.
knowledge with the investment advisors act of 1934, SEC OCIE or Trading and Markets (or both) Enforcement experience. Dodd-Frank rules, specifically OTC Derivatives and Volker Rules specific to compliance (new SEC and FINRA rulemaking).
emergence of “fairness standards”, mortgage litigation, remediation, working knowledge of key regulations such as Fair Lending, HMDA/CRA, RESPA, and Truth-in-Lending, among others.
knowledge of accounting, regulatory reporting and/or regulatory software packages,
experience with the design, development and implementation of internal controls for financial services business processes a plus
strong written and verbal communication skills for report writing and client presentations
analytical skills; specifically, the ability to assess and decompose financial services industry processes utilizing a risk and control focus
effective leadership, project management and teamwork skills
prior experience in consulting preferred
a willingness to travel to meet client needs
a valid driver's license in the US and a valid passport required; willingness and ability to travel internationally
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