Regulatory Compliance Principal

• Supervise engagements and assume responsibility for compliance reviews, operational reviews, compliance management system assessments, policy reviews, and risk assessment/planning
• Lead internal audit and consulting services related to financial crimes compliance, consumer protection laws and regulations, and general risk management activities
• Manage and prioritize multiple client engagements while meeting deadlines and maintaining frequent stakeholder communication
• Develop findings and recommendation reports and communicate results to clients
• Perform quality control reviews of work papers and deliverables
• Supervise and develop team members in client engagement management and regulatory compliance knowledge
• Prepare and deliver proposals and engagement letters
• Develop internal and external networks to support practice business-development goals
• Participate in client meetings, industry events, and other networking events
• Conduct team-supported business development from prospecting through close
• Develop staff and provide effective leadership
• Manage client relationships and defined practice-development objectives aimed at revenue growth
• Balance client, practice-development, and administrative demands
• Travel throughout the region approximately 20%–30%

• Bachelor’s degree required
• Minimum of 10 years of experience working in the financial services industry
• Prior experience in consulting or professional services required
• Well versed in financial crimes compliance or consumer protection laws and regulations, including AML, TILA, RESPA, Regulation E, and Fair Lending
• CAMS, CRCM, CERP, or similar designations highly preferred
• Ability to follow work plans and understand banking vocabulary
• Ability to conduct scoping meetings with prospective clients and develop proposals and engagement letters
• Ability to engage in client expansion and contribute to fees sold
• Ability to generate leads
• Self-starter able to work under minimal supervision
• Ability to complete projects within budget while delivering high quality
• Ability to balance client, practice-development, and administrative demands
• Strong interpersonal and written communication skills required
• Ability to promote positive working relationships with diverse personalities and roles
• Frequent regional travel, approximately 20%–30%
• Exempt position; may require working beyond a standard 40-hour week
• Must be legally authorized to work in the United States without sponsorship, except qualified bilingual candidates in Japanese and English or Chinese and English

Demonstrates expertise in financial crimes compliance and consumer protection laws, with a strong focus on client engagement management and regulatory compliance. Proven ability to lead teams, develop proposals, and manage client relationships to drive business development and revenue growth.

• Financial Crimes Compliance
• Consumer Protection Laws
• CAMS Certification
• Client Engagement Management
• Business Development

• Risk Assessment
• Compliance Reviews
• Operational Reviews
• Quality Control Reviews
• Proposal Development
• Engagement Letters
• Lead Generation
• Project Management
• Budget Management
• Stakeholder Communication

• Interpersonal Skills
• Written Communication
• Leadership
• Team Development
• Relationship Building

• CAMS
• CRCM
• CERP

• Financial Services
• AML
• TILA
• RESPA
• Regulation E
• Fair Lending
• Compliance Management System
• Consulting Services
• Client Relationships
• Practice Development