Supervisor - Regulatory Compliance Consulting

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

• Manage multiple engagements, up to five at a time (including planning, execution, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion
• Ability to identify, document and crisply communicate verbally, areas of non-compliance with banking laws and regulations and provide actionable recommendations.
• Demonstrate expertise in consumer lending and other regulatory compliance requirements
• Communicate with engagement team leaders and clients on a daily basis, covering overall engagement status, the teams progress, escalation points, conclusions and potential improvements to the process.
• Provide high quality client deliverables and service that meets or exceeds client expectations
• Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications

Experience Required

• Application of regulatory compliance expertise in a consulting, financial institution or regulatory environment
• Development, implementation and/or evaluation of policies, procedures and processes to meet regulatory needs
• Knowledge of regulatory compliance handbooks and experience working with OCC, CFPB, FDIC and FED regulated entities

Basic Qualifications

• Bachelor degree in accounting, finance or related business field and or a law degree
• Minimum 4 years of regulatory compliance experience in financial institutions
• Demonstrated understanding of banking laws and regulations, including, but not limited to, Compliance Management System (CMS), Fair Credit Reporting Act (FCRA), Truth in Lending Act (TILA), Home Mortgage Disclosure Act (HMDA), Fair Lending, and Truth in Savings Act (TISA), other related regulatory requirements.
• Knowledge of consumer financial products and services, such as deposit accounts, savings accounts, mortgages, consumer loans, and credit cards.
• Experience with a national or regional public accounting firm, or at a financial institution as a regulatory compliance officer or internal auditor, or with a regulatory agency
• Motivated, self-starter that can manage a team of up to five to deliver assessments services covering regulatory compliance for banks, credit unions, broker dealers, FinTech's and other financial institutions

Preferred Qualifications

• Exceptional verbal/written communication, leadership and analytical skills needed to manage project teams, review workpapers, prepare client reports, and present results to clients in a timely manner
• Strong organizational and time management skills with ability to manage multiple priorities and projects
• CRCM, CCBCO, AMLP or other regulatory compliance certification preferred
• Understanding of FINRA and SEC rules

At RSM, we offer a competitive benefits and compensation package for all our people.We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients.Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership.RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM's background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.

At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.