Manager, Risk Consulting - Capital Markets and Asset Management

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 Due to rapid growth of our Financial Services Risk Consulting practice and the evolving risk landscape of our clients, RSM is seeking a highly motivated manager focused on giving our clients critical assistance to develop and maintain compliance with broker-dealers (BD) and registered investment advisers (RIA) regulations.

As a manager in RSM’s growing Financial Services Risk Consulting practice, you will have the opportunity to draw from your experience and knowledge while continuing to grow your leadership skills through a high degree of client and financial services industry exposure, career development and mentorship opportunities, and a diverse and inclusive culture. The fast-paced and dynamic environment in which we operate will provide you with daily challenges and exciting opportunities.

Key Responsibilities:

Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAsEvaluate the current state of the BD or RIA compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program

Conduct independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.

Respond 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 strong relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations

Manage engagements (including planning, execution, workpaper review, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion

Communicate with clients on the review process, conclusions and potential improvements to the process.

Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications

Contributions to Firm Culture:

Model the core RSM values of respect, integrity, teamwork, excellence and stewardship in all interactions with clients and team members

Collaborate with colleagues across a variety of levels and disciplines to develop and deliver innovative solutions that provide value to clients

Maintain agility to adapt quickly to shifting needs, demands, technology solutions, or process changes and assist others in adapting to change

Support RSM’s goals around diversity and inclusion by nurturing an environment that understands individuality, promotes authenticity, and values varied perspective in arriving at solutions

Client

Experience:

Leverage understanding of industry trends and business acumen to think critically about complex challenges and propose dynamic solutions

Identify current and relevant financial services industry thought leadership to share with the client

Own management level relationships, and interact with C-suite group. Drive collaboration with external stakeholders

Lead risk…