Regulatory Compliance Principal

Principal

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As a principal, you'll play a key role – supervising engagements and assuming responsibility for a variety of services including but not limited to compliance reviews, operational reviews, compliance management system assessments, policy review, and risk assessment/planning. This position will include a strong emphasis on developing staff and providing effective leadership. In addition, the role will include defined practice-development objectives aimed at driving revenue growth, along with broader client management responsibilities.

Responsibilities

• Lead internal audit and consulting services related to the laws, regulations, and expectations associated with financial crimes compliance, consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending), and other general risk management activities such as model risk management and enterprise risk management programs.
• Manage and prioritize multiple client engagements while meeting agreed upon deadlines and ensuring frequent communication occurs with both internal and client stakeholders.
• Develop findings and recommendation reports and communicate the results with clients.
• Perform quality control reviews to ensure internal workpaper and deliverable standards are met.
• Supervise and develop team members in the areas of client engagement management and applied regulatory compliance knowledge.
• Assist in preparing and delivering proposals and engagement letters.
• Develop internal and external networks to further the business development goals of the practice.
• Participate in internal and external networking events, including client meetings, industry events, etc.
• Formal business development (prospecting to close) in a team-supported environment.

Qualifications

• Bachelor's degree required
• Minimum of 10 years of experience in working in the financial services industry.
• Prior experience in consulting or professional services is required.
• Well versed with financial crimes compliance or consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending).
• CAMS, CRCM, CERP, or similar designations are highly preferred
• Must have the ability to follow work plans and understand banking vocabulary
• The ability to have scoping meetings with prospective clients and be able to develop proposals and engagement letters.
• Ability to engage in client expansion, contributing to fees sold; recognizes the importance of lead generation
• Self-starter; ability to work under minimal supervision
• Complete projects within budget while delivering high quality
• Balance client, practice development, and administrative demands
• Strong interpersonal and written communication skills required
• Promote positive working relationships with diverse personalities/roles at all levels in the firm
• Frequent travel throughout the region, with approximately 20% - 30% travel.

This is an exempt position, so you may have to work hours that exceed the standard 40-hour work week.

What makes us different?

On the surface, we're one of the nation's largest audit, tax, consulting, and wealth management firms. But dig a little deeper, and you'll see what makes us different: we're a relatively jerk-free firm (hey, nobody's perfect) with a world-class culture, consistent recognition as one of Fortune Magazine's "100 Best Companies to Work For," and an endless array of opportunities.  At Plante Moran, diversity, equity and inclusion means that all staff members have equitable and fair opportunities to succeed, in an inclusive environment, with their individual, unique identities.

So, what are you waiting for? Apply now.

Plante Moran enjoys a "Workplace for Your Day" model which, simply put, means we strive for flexibility and balance while staying true to our principally in-person model. We believe that face-to-face interactions are paramount for individual and collective development, but also encourage individuals to work with their…