Senior Manager, Risk & Regulatory Compliance

Description & Requirements

Forvis Mazars is seeking an experienced Senior Manager, to join our Middle Market Risk & Regulatory practice. This individual will lead regulatory compliance engagements for community banks, credit unions, regional financial institutions, and other financial services organizations.

• Lead complex regulatory compliance consulting, internal audit, testing, and remediation engagements.
• Serve as a primary relationship contact for assigned clients.
• Establish engagement scope, workplans, budgets, timelines, and staffing requirements.
• Monitor engagement economics, delivery quality, and client satisfaction.
• Communicate findings and recommendations to executive management, boards, audit committees, and regulators.
• Identify emerging client needs and coordinate appropriate resources across the firm.
• Build and maintain trusted relationships with financial institution executives and other key stakeholders.

• Lead compliance reviews, risk assessments, gap analyses, and program evaluations.
• Assess the design and effectiveness of Compliance Management Systems.
• Advise clients on regulatory expectations, emerging risks, and leading practices.
• Evaluate and enhance policies, procedures, controls, monitoring programs, and governance structures.
• Oversee compliance testing and monitoring activities.
• Lead regulatory remediation and corrective action initiatives.
• Support regulatory change management and implementation efforts.

• Provide technical leadership and review across regulatory compliance engagements.
• Perform engagement quality reviews and other technical reviews, as appropriate.
• Evaluate complex findings, conclusions, and recommendations for technical accuracy and practical applicability.
• Promote consistency, quality, and risk-based execution across engagement teams.
• Consult with engagement leaders and clients on complex or emerging regulatory matters.
• Support the development and maintenance of methodologies, tools, templates, and technical guidance.

• Lead reviews of consumer lending and deposit compliance programs.
• Oversee fair lending risk assessments, reviews, and disparity analyses.
• Evaluate HMDA processes, controls, data integrity, and reporting.
• Assess lending operations for compliance, fair lending, and fair banking risks.
• Advise clients on CRA program governance, risk management, and regulatory readiness.
• Provide guidance regarding UDAAP/UDAP, complaints, and consumer protection risks.

• Lead or support BSA/AML program assessments, independent reviews, and remediation efforts.
• Evaluate enterprise and business-line risk assessments and control environments.
• Assess controls related to higher-risk customers, products, services, transactions, and geographies.
• Advise management and boards regarding program governance, regulatory expectations, and emerging risks.

• Assist clients in preparing for regulatory examinations and internal or external audits.
• Advise management on examination strategy, document production, and responses to regulatory inquiries.
• Evaluate findings, action plans, and remediation efforts.
• Facilitate communication among management, boards, regulators, internal auditors, and external auditors.
• Lead validation and sustainability reviews of completed corrective actions.

• Lead, coach, and develop engagement teams.
• Provide timely feedback and support the professional development of managers, consultants, and associates.
• Assist with workforce planning, staffing, recruiting, and performance management.
• Develop proposals, scopes of work, presentations, thought leadership, and client solutions.
• Participate in business development activities and cultivate new and existing client relationships.
• Represent Forvis Mazars at industry events, conferences, and professional associations.
• Contribute to strategic practice initiatives, service development, and market expansion.

• Bachelor's degree in Accounting, Finance, Business, Risk Management, or a related field.
• 8+ years of experience in banking regulatory compliance, risk management, internal audit, regulatory affairs, or financial services consulting, including some experience advising clients in a consulting, advisory, or professional services capacity.
• Experience across multiple areas including regulatory…