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Years of Experience
Date Last Verified
ProfileConsulting - Manager - RAS Regulatory Compliance Duties: Developing strong relationships with existing clients and prospective clients within banking and financial services industries to enable effective sales. Conducting regulatory assessments and other services covering regulatory compliance, BSA/AML, broker dealer policies and procedures, and registered investment advisers. Managing engagements (including planning, execution, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion. Understanding of registration requirements for broker/dealers, investment advisors and CFTC registrants. Communicating with clients on the review process, conclusions and potential improvements to the process. Conducting complete documentation and client report review. Providing timely, high quality client service that meets or exceeds client expectations. Demonstrating knowledge in various facets of risk advisory services. Providing consulting advice that enables clients to increase shareholder value. Keeping abreast of changes in industry regulations, and develops own competency through continuing education and by obtaining additional professional certifications. Application of regulatory compliance expertise in a consulting, financial services or regulatory environment. Development of policies and procedures to meet regulatory needs. Supervisory experience in a financial services firm.
Qualification and Experience
Qualifications: Bachelor degree in accounting, finance or related business field and or a law degree. CRCM, CAMS, CCBCO, AMLP or other regulatory compliance certification preferred. CPA certifications a plus. 8+ years regulatory compliance experience in financial services firms. Experience with a national or regional public accounting firm or at a broker-dealer or registered investment advisor as a regulatory compliance officer, or auditor, or with a regulatory agency. Regulatory audit experience a plus. Previous project management and staff management experience. Exemplary client service skills. Preferred:. Exceptional verbal/written communication skills needed to prepare detail audits, writing reports, and presenting results to clients. Strong organizational and time management skills with ability to manage multiple priorities and projects.
Req #: RSM648