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Regulatory Compliance Risk Senior Manager

  • Job
    Full-time
    Expert Level
  • Accounting & Tax
    Banking & Finance
  • $16.2K - $270K
  • New York City

AI generated summary

  • You need a bachelor's degree, 10+ years of experience, relevant certification, knowledge of compliance laws and regulatory guidelines, exceptional client service skills, project management experience, strong communication skills, and willingness to travel.
  • You will oversee client engagements, lead business development activities, manage risk, develop thought leadership, communicate with clients and regulators, and mentor staff.

Requirements

  • Bachelor’s degree in Accounting, Economics, Finance, Information Technology, MIS, or related field required
  • Minimum 10 of related work experience in financial services, federal regulator, similar consulting practice or function servicing cross-industry clients at a national level required
  • Certification required, CPA, CRCM, CRMA, CCEP, CRMP, CIA, Certified Federal Bank Examiner, Attorney (concentration in banking law, securities law, financial services regulation, or similar), or related license/certification
  • Depth of knowledge of consumer protection principles, compliance management systems, compliance risk management, consumer protection laws (TILA, ECOA, RESPA, Flood Insurance, HMDA, FDCPA, FCRA, UDAAP, TISA, EFTA, EFAA, SCRA, MLA, Privacy, Fair Lending etc.)
  • Depth of knowledge and practical use with regulatory guidelines including but not limited to CFPB, FDIC, FRB, OCC, and NCUA compliance examination procedures
  • Compliance, Operational Risk and/or Regulatory Compliance or related consulting experience
  • Exceptional client service with a demonstrated ability to develop and maintain outstanding client relationships
  • Experience in creating and tracking of engagement work plans, timelines, budgets, project management, and resource allocations
  • Excellent oral and written communication skills including Strong computer skills including proficiency in Microsoft Office Suite
  • Strong administrative skills: project workflow; budgets; billing and collections; and preparing and/or coordinating complex written presentation materials
  • Can travel as needed

Responsibilities

  • Perform engagement oversight responsibilities, including performance reviews, task delegation, project scheduling, project financials, quality review and client management
  • Lead and support business development activities, such as proposals, capture, account teams, whitepapers, conferences, and/or other thought leadership material
  • Lead testing team for Consent Order Validation and independent monitoring engagements, responsible for overseeing execution of testing to verify clients address issues identified and meet requirements set forth by regulators.
  • Build, maintain, and utilize networks of client relationships and industry involvement and communicating our value proposition
  • Active communication with clients to manage expectations, ensure satisfaction, and become a trusted business partner
  • Drive new business and meet or exceed sales targets for new and follow-on work
  • Meet or exceed targeted billing hours (utilization)
  • Develop and track engagement work plans, timelines, budgets, and resource allocations
  • Oversee development of, and completion of, engagement and testing activities
  • Manage and minimize engagement risk by proactively identifying issues and recommended courses of remediation
  • Research, analyze, and understand current marketplace issues and emerging regulatory requirements and guidance
  • Develop thought leadership and whitepapers on emerging regulatory and risk requirements.
  • Participate in and speak at industry conferences, seminars, and associations
  • Communicate externally with clients, regulators, and internally with all levels of the organization
  • Direct communications and meetings with client and regulators to discuss status, results of testing activities and issues
  • Adhere to the highest degree of professional standards and strict client confidentiality
  • Manage, develop, train, mentor staff on projects and assess performance for engagement and year-end reviews
  • Actively participates in recruiting top talent to the firm and interviews campus and/or experienced candidates
  • Other duties as assigned

FAQs

What qualifications are required for the Regulatory Compliance Risk Senior Manager position?

A Bachelor's degree in Accounting, Economics, Finance, Information Technology, MIS, or related field is required, along with a minimum of 10 years of related work experience in financial services, federal regulator, similar consulting practice, or function servicing cross-industry clients at a national level. A certification such as CPA, CRCM, CRMA, CCEP, CRMP, CIA, Certified Federal Bank Examiner, Attorney (concentration in banking law, securities law, financial services regulation, or similar), or related license/certification is also required.

What are some key responsibilities of the Regulatory Compliance Risk Senior Manager?

Key responsibilities include performing engagement oversight, leading and supporting business development activities, overseeing testing teams for Consent Order Validation, building and maintaining client relationships, driving new business, meeting sales targets, developing thought leadership, managing engagement risk, researching emerging regulatory requirements, developing engagement work plans, training and developing staff, and recruiting top talent.

What specific skills are needed for the Regulatory Compliance Risk Senior Manager role?

Skills needed for this role include a depth of knowledge of consumer protection principles, compliance management systems, compliance risk management, consumer protection laws, regulatory guidelines, exceptional client service, project management, excellent oral and written communication skills, proficiency in Microsoft Office Suite, strong administrative skills, and the ability to travel as needed.

Audit, tax and advisory are just the beginning.

Accounting
Industry
5001-10,000
Employees
1924
Founded Year

Mission & Purpose

Grant Thornton LLP provides audit, tax, and advisory services to clients across various industries. Their ultimate aim is to deliver tailored, innovative solutions that help businesses navigate challenges, enhance performance, and achieve sustainable growth. Grant Thornton's purpose is to build lasting relationships by offering personalised expertise, fostering trust, and making a positive impact on clients' success.