Risk Consulting Manager - Capital Markets & Asset Management
rsm usBrooklyn (NY)
Risk Consulting Manager - Capital Markets & Asset Management
Posted 15 days ago
rsm usBrooklyn (NY)
SENIORITY
Lead
About the role
Position Description:
Due to rapid growth of our Financial Services Risk Consulting practice and the evolving risk landscape of our clients, RSM is seeking a highly motivated manager focused on giving our clients critical assistance to develop and maintain compliance with broker-dealers (BD) and registered investment advisers (RIA) regulations. As a manager in RSM’s growing Financial Services Risk Consulting practice, you will have the opportunity to draw from your experience and knowledge while continuing to grow your leadership skills through a high degree of client and financial services industry exposure, career development and mentorship opportunities, and a diverse and inclusive culture. The fast-paced and dynamic environment in which we operate will provide you with daily challenges and exciting opportunities.
Key Responsibilities:
- Manage and deliver assessments and other services covering regulatory compliance for BDs and RIAsEvaluate the current state of the BD or RIA compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program
- Conduct independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing.
- Respond to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices.
- Develop strong relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations
- Manage engagements (including planning, execution, workpaper review, report preparation and final wrap up), conducting exit meetings, and assisting in preparation of reporting and related risk assessment completion
- Communicate with clients on the review process, conclusions and potential improvements to the process.
- Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications
- Contributions to Firm Culture:
- Model the core RSM values of respect, integrity, teamwork, excellence and stewardship in all interactions with clients and team members
- Collaborate with colleagues across a variety of levels and disciplines to develop and deliver innovative solutions that provide value to clients
- Maintain agility to adapt quickly to shifting needs, demands, technology solutions, or process changes and assist others in adapting to change
- Support RSM’s goals around diversity and inclusion by nurturing an environment that understands individuality, promotes authenticity, and values varied perspective in arriving at solutions
- Client Experience:
- Leverage understanding of industry trends and business acumen to think critically about complex challenges and propose dynamic solutions
- Identify current and relevant financial services industry thought leadership to share with the client
- Own management level relationships, and interact with C-suite group. Drive collaboration with external stakeholders
- Lead risk assessment management interviews and development of internal audit plan
- Perform review of the deliverables including process narratives/flowcharts, risks and control gaps, suggested remediation and process improvement
- Lead formal closing meetings with clients to share and confirm deliverables
- Maintain overall responsibility for engagement economics and manage expectations around billing, monitoring, and collections
- Demonstrate effective delegation strategies by managing multiple clients, projects, and teams simultaneously with the goal of overseeing a book of business
- Business Development:
- Participate in relevant industry associations and events to develop and/or maintain industry focus and relationships
- Build, maintain, and utilize your internal network to address issues timely and add value to client relationships; begin cultivating an external network with the goal of generating new business opportunities for the firm
- Assist in writing, developing and delivering thought leadership internally and externally
- Communicate effectively with prospects, assess needs, and develop clear and accurate project parameters including scoping descriptions, delivery plans, and budgets
- Contribute to pursuits through development of proposals and other materials
Required Qualifications
Education:
Bachelor's degree in Accounting, Finance, Business Administration, or Economics ore related field; advanced degree (MBA, MSF) a plus.
Experience:
4+ years of relevant professional experience, including prior experience at a Big Four or comparable national public accounting/consulting firm.
Regulatory Compliance Expertise: Demonstrated experience in broker-dealer and/or asset manager (RIA) regulatory compliance, with a focus on compliance with regulatory financial reporting, with working knowledge of applicable SEC and FINRA rules and examination priorities.
Enterprise Risk Management: Hands-on experience designing, assessing, or advising on ERM frameworks, risk assessments, and internal control environments.
Technical Skills:
Ability to lead internal audit, compliance testing, and advisory engagements - including scoping, work program design, testing, and reporting.
Preferred Qualifications
Certifications:
CPA, CIA, CRCM, CAMS, FRM, or Series 7/24/99 licenses.
Domain Depth: Familiarity with front-to-back operations of broker-dealers and/or investment advisers (e.g., trade lifecycle, custody, billing/AUM, net capital, books-and-records, AML/KYC).Regulatory Reporting: Exposure to FOCUS reporting, Form ADV, Reg BI, and related regulatory filings.
Project Leadership: Experience managing multiple concurrent client engagements, budgets, and staff.
Core Competencies & Skills:
Leadership & People Management: Proven ability to lead, coach, and develop engagement teams and review deliverables for quality.
Client Relationship Management: Strong executive presence with the ability to build trust with client stakeholders and support business development.
Analytical Rigor: Detail-oriented, process-driven approach to complex regulatory and control environments.
Communication: Excellent written and verbal skills, including the ability to produce executive-ready deliverables and present findings to senior stakeholders.
Adaptability: Comfortable managing ambiguity across diverse client types, regulatory regimes, and business models.
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