Consulting - Senior Associate - Regulatory Compliance

RSM US   •  

Des Moines, IA

Industry: Financial Services


5 - 7 years

Posted 452 days ago

This job is no longer available.

If you enjoy working with clients and colleagues to improve business effectiveness, create sustainable efficiencies, add value by matching Firm capabilities with client needs, and build a world class consulting organization, then we invite you to help drive our winning Risk Advisory Services strategy.


RSM's Risk Advisory Service offerings include:  Internal Audit, Information Technology (IT) Audit, Security & Privacy Services, SOX Advisory, SOC1 / SOC2 Reporting, Contract Compliance, IT Governance Risk and Compliance, Enterprise Risk Management and AML/Regulatory Compliance Advisory.


As a Bank Regulatory Compliance Senior Associate, you will work with clients of the firm and use your knowledge, expertise, and talent to provide value added consulting services to our financial institution clientele. The consulting engagements you will take part in will allow you to perform regulatory and Bank Secrecy Act compliance reviews.   At RSM, our risk-based approach, developed through years of experience, is designed to identify and qualify the vulnerabilities our clients face. Working together, we develop plans to protect our clients against financial and regulatory risks.

The financial industry has always been subject to its share of regulation, including those mandated by the various regulatory agencies, including the Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, Comptroller of the Currency, National Credit Union Administration and Federal Reserve Bank.

The regulatory agencies have implemented risk-focused examinations to evaluate financial institutions.. Examinations assess areas such as compliance with applicable laws and regulations. An institution's most vulnerable areas receive the greatest scrutiny.

At RSM, we know tools and techniques go only so far in mitigating risk to our clients. We know that our success depends upon the strength of our consultants. An environment sound in regulatory compliance exists through the input of experienced resources, abreast of the latest regulatory requirements.
Responsibilities Include: 

  • Work individually or as part of a team in providing project execution on client engagements

  • Contribute to strong client relationships through positive client support and sound expertise

  • Demonstrate expertise in lending and deposit compliance and BSA

  • Using proven tools and techniques, execute project deliverables in a manner consistent with our client's business objectives


  • Bachelor's degree in Finance, Accounting or related business field of study

  • Previous experience working in a consulting or professional services environment

  • Minimum five years of Regulatory Compliance experience with banks or bank regulatory agency (REG B, C, Z, RESPA, HMDA, OFAC, BSA/AML)

  • Must be able to travel in the state and surrounding states up to 50% of the time - including overnight travel

  • Consumer compliance experience 

Preferred Qualifications:

  • Experience and ability to manage projects and take initiative

  • CRCM or CCBCO certifications

  • Experience working for the FDIC, CFPB, OCC or financial agencies with banking or as a compliance officer

  • Excellent verbal, written and interpersonal communication skills

  • Ability to work individually or in small project teams; collaborate


Job ID req1997