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.

The ideal candidate will bring broad banking regulatory compliance experience, strong technical judgment, and the ability to manage complex client relationships and engagement teams. Areas of experience may include consumer compliance, compliance management systems (CMS), fair lending, BSA/AML, lending and deposit compliance, regulatory examinations, compliance testing, and regulatory remediation.

This is a client-facing leadership role with responsibility for engagement execution, technical quality, staff development, client relationship management, proposal development, and practice growth. The Senior Manager will work closely with client executives, boards, regulators, auditors, and Forvis Mazars practice leaders to provide practical, risk-based solutions to complex regulatory matters.

• 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…