This role sits at the intersection of forensics, compliance, and financial services advisory, leading complex investigations, regulatory engagements, and dispute-related consulting work. The Senior Manager drives integrity across client engagements and internal initiatives, drawing on deep securities industry expertise to support litigation, compliance assessments, and risk mitigation strategies.
The role leads high-profile forensic investigations and compliance initiatives that promote integrity, accountability, and defensible outcomes, strengthening client and organizational risk posture by identifying, investigating, and mitigating fraud, misconduct, and regulatory exposure. The Senior Manager also shapes and enhances compliance frameworks aligned with evolving regulatory requirements, industry standards, and securities market practices, serving as a trusted advisor to senior leadership and clients on complex risk, compliance, and dispute-related matters.
The role drives business growth by drawing on industry relationships and identifying new client opportunities within the financial services sector, while building and mentoring high-performing teams that reflect a culture of excellence, collaboration, and continuous improvement.
What You'll Do- Lead and oversee complex forensic investigations, including financial, operational, regulatory, and litigation-related matters
- Manage dispute resolution and consulting engagements, serving as a subject matter expert on securities industry rules, trading practices, and compliance standards
- Develop, implement, and enhance policies, procedures, and controls to ensure regulatory compliance and mitigate risk
- Partner cross-functionally with Legal, Finance, IT, HR, and client stakeholders to support investigations and drive corrective actions
- Conduct enterprise and client risk assessments, identifying vulnerabilities and recommending practical mitigation strategies
- Monitor regulatory developments (for example, SEC, FINRA, AML/KYC, FCPA, and SOX) and emerging risks, advising on industry trends and compliance expectations
- Prepare and present clear, concise, and defensible reports for senior leadership, clients, regulators, and legal proceedings
- Manage relationships with external auditors, regulators, law enforcement, and expert witnesses as needed
- Lead business development efforts, including developing pitch materials and proposals, attending industry conferences and building client relationships, and drafting thought leadership content
- Oversee project management across engagements, including work planning and execution, team leadership and mentoring, and budget tracking and engagement economics
- Review and guide staff work product, including financial analysis, trading data, and expert reports
- Use industry tools and technologies, such as Bloomberg, LexisNexis, CapIQ, Salesforce, and Relativity, to support analysis and reporting
What You Bring- Bachelor's degree in accounting, finance, criminal justice, or a related field; an advanced degree is preferred
- Professional certifications such as CPA, CFE, or CAMS, or securities licenses such as Series 7, 63, or 24, strongly preferred
- 10 or more years of experience in forensic investigations, compliance, risk management, or financial services consulting
- Deep knowledge of securities industry regulations, trading practices, and brokerage operations
- Experience with regulatory frameworks such as SEC, FINRA, SOX, FCPA, and AML/KYC
- Proven ability to lead complex investigations and dispute engagements and deliver high-quality, defensible reports
- Strong analytical, problem-solving, and decision-making skills
- Excellent written and verbal communication skills, including formal report writing and presentation delivery
- Demonstrated business development capabilities and client relationship management experience
- Strong organizational skills, with the ability to manage multiple projects under tight deadlines
- Experience mentoring and developing teams, with a collaborative leadership style
- High level of integrity and the ability to handle sensitive, confidential matters with sound judgment
How You'll Thrive- Lead with integrity and sound judgment in high-stakes, sensitive, and often ambiguous situations
- Navigate evolving regulatory landscapes with a proactive, solutions-oriented mindset
- Build strong internal and client relationships, fostering trust and collaboration
- Balance strategic leadership with hands-on execution across multiple engagements
- Develop and mentor team members while reinforcing a high-performance culture
- Embody Stout's core values: Positive and Team-Oriented, Accountable, Committed, Relationship-Focused, Super-Responsive, and Great Communicators
- Deliver Relentless Excellence® in client service, risk management, and investigative outcomes
At Stout, we offer a comprehensive Total Rewards program with competitive compensation, benefits, and wellness options tailored to support employees at every stage of life.
We foster a culture of inclusion and respect, embracing diverse perspectives and experiences to drive innovation and success. Our leadership is committed to inclusion and belonging across the organization and in the communities we serve.
We invest in professional growth through ongoing training, mentorship, employee resource groups, and clear performance feedback, ensuring our employees are supported in achieving their career goals.
Stout provides flexible work schedules and a discretionary time off policy to promote work-life balance and help employees lead fulfilling lives.
Learn more about our benefits and commitment to your success.
https://www.stout.com/en/careers/benefits
The specific statements shown in each section of this description are not intended to be all-inclusive. They represent typical elements and criteria necessary to successfully perform the job.
