Regulatory Compliance Manager –– Financial Services Slate Professional Resources - U.S. Wide

Regulatory Compliance Manager –– Financial Services

Interested in joining a firm that holds itself to a higher standard, that leads with a human touch, who believes the heart and soul of the firm are its people (for real) …that continually strives for an “everybody wins” environment… what a game changing breath of fresh air… If yes…please read on!

Slate has an undeniably career-making opportunity with a most amazingly dynamic client for the right fit high energy Manager or super star Senior. Their client is an almost century old People Organization seemingly disguised as an international CPA Firm given the outstanding way they value their people. With offices nationwide and a business that is on fire, on their behalf, Slate is seeking resources in the Denver Metro and Greater West Region for a full time, outstanding Regulatory Compliance SME/Manager in the Financial Services domain, to service the 300+ banks in Slate’s client Western Region Portfolio. The opportunities for you with this firm are limitless, this is an environment where you can define your own path to meet your personal definition of success and fulfillment.

Immediate consideration will be given for interested individuals possessing the following experience as this is what you will be doing:

Plan and Perform scheduled Compliance Assurance Reviews in a comprehensive manner consistent with Client procedures.

Author comprehensive, accurate reports based on the results of monitoring and testing projects performed.

Provide regulatory compliance expertise to support strategic initiatives and advise clients in managing their compliance risk associated with assigned regulatory requirements.

Provide technical and non-technical support. Non-technical support may include assistance with report writing and proofing. Technical support may include assistance with information gathering, analytics and recommendations for remdiation

Regularly collaborate with Client’s internal business partners.

As directed, participate in the change management process by reviewing new or changing regulations or processes to analyze impact of changes to relevant business lines.

Review policies, procedures and processes for potential gaps in full cycle compliance.

Develop recommendations for implementation of any new or changing regulations Assists in developing compliance department procedures.

Provide guidance to Client regarding development of their procedures.

Ensure completed checklists are uploaded into Kadince marketing software.

Participate in necessary education and training events to attain/maintain essential work-related knowledge and information.

Assist with compilation of accurate information, work papers to be provided during the course of external audits and regulatory examinations.

Engage in continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards

Train, direct and oversee team staff in support of their growth and execution of job responsibilities

What you will need to qualify…

Bachelors’ Degree in Accounting, Economics, Finance, or related field is required. CPA, CRCM CAMS designation is highly preferred but not required. Extensive Regulatory Compliance Knowledge is a must.
5-9 years of recent or current experience in a Regulatory Compliance practice or the risk management practice of a public accounting or Technical/Management consulting firm, Bank or Financial Services. Language skills including Japanese and/or Spanish are preferred, but not required
Demonstrated success in securing strong client relationships and ability to meet their needs
Frequent travel throughout the region.

Specific experiences with the following are highly preferred:
Comprehensive and Current Regs A-Z and BSA/ AML knowledge is a must
Enterprise Risk Management
Delivering / presenting production results/action plans to Management and the Board of Directors

What differentiates our client? They focus on people, their clients and their staff. They believe that their clients are the center of all they do and client satisfaction is their primary concern which is why they are so focused on their staff. They strive to create an environment that the Partners and Staff enjoy. As a result, their clients are served by people who enjoy what they do.

They are guided by the golden rule when they are dealing with both clients and staff. They treat their clients and staff like they would want to be treated. For clients, this means they do what they say they are going to do when they say they are going to do it. Clients don’t have to worry about surprises and know they will always be kept informed along the way.

For their people, this philosophy of treating people the way they would like to be treated means they have a collaborative and nurturing work environment where people are given the opportunity to grow. Their culture is built upon specific core purpose, values, and principles that have served this outstanding Firm for more than 90 years.

Come experience the difference of a people first firm…from day 1! Their client is a National Top 15 CPA and Management Consulting firm!




Loading Suggestions