More jobs:
Securities Compliance QA Manager, Global Banking
Job in
Tampa, Hillsborough County, Florida, 33646, USA
Listed on 2026-08-17
Listing for:
RSM US LLP
Full Time
position Listed on 2026-08-17
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
RSM US LLP is seeking a temporary Manager-level Securities Compliance QA professional to support the Global Banking Practice. The role operates in the second line of defense, providing independent oversight, testing, and challenge of Broker-Dealer and RIA compliance programs for banking and wealth management clients.
Responsibilities include risk-based QA reviews, independent assessment of policies and controls, and support for regulatory exams and remediation efforts.
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