Senior Associate, Regulatory Compliance – Financial Services
Job in
Arvada, Jefferson County, Colorado, 80004, USA
Listed on 2026-08-16
Listing for:
Jobtailor
Full Time
position Listed on 2026-08-16
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
- Work with clients and Financial Services staff to fulfill engagement and relationship objectives
- Complete work within budgets and coordinate resources to meet objectives
- Develop an understanding of clients' business activities, processes, and associated risks
- Coordinate timely completion of fieldwork with the lead director
- Oversee assigned staff members' work
- Prepare compliance reports
- Work with Managers, Directors, and clients to address compliance issues
- Keep current with industry developments in regulatory compliance through formal and self-education
- Provide ongoing technical assistance to clients
- Assist with other engagements, special projects, or assigned duties
- Mentor and train staff
- Bachelor's degree is required, or a combination of relevant experience, education, and training may be accepted in lieu of degree
- 2 years of relevant experience required
- CRCM or other compliance certification is a plus
- Strong knowledge of the financial services industry, controls, and processes
- Prior financial services industry experience and/or regulatory experience is a plus
- Strong understanding of regulatory compliance concepts
- Demonstrated track record of leading fieldwork for compliance testing
- Ability to lead and develop staff
- Ability to complete assignments within required time constraints and deadlines
- Ability to travel
Demonstrates strong expertise in regulatory compliance within the financial services industry, with a focus on leading compliance testing and mentoring staff. Proven ability to manage client relationships and deliver projects within budget and deadlines.
Highest-signal resume keywords- Regulatory Compliance
- Financial Services Industry Knowledge
- Compliance Testing Leadership
- Staff Development
- CRCM Certification
- Compliance Reporting
- Fieldwork Coordination
- Risk Assessment
- Budget Management
- Technical Assistance
- Client Relationship Management
- Mentoring
- Team Leadership
- Time Management
- CRCM Certification
- Regulatory Compliance Concepts
- Financial Services Controls
- Compliance Issues
- Industry Developments
Position Requirements
10+ Years
work experience
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