CLA (CliftonLarsonAllen)

Senior Associate, Regulatory Compliance – Financial Services

CLA (CliftonLarsonAllen)

full-time

Posted on:

Location Type: Hybrid

Location: Colorado • Minnesota • United States

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Salary

💰 $71,800 - $129,000 per year

Job Level

Senior

About the role

  • Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives.
  • Develop an understanding of the client's business activities, processes, and associated risks.
  • Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members.
  • Prepare compliance reports.
  • Work with Managers, Directors, and clients to address compliance issues.
  • Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self-education.
  • Provide ongoing technical assistance support to clients.
  • Assist in the completion of other engagements/special projects or duties as assigned.
  • Mentorship and training of staff.

Requirements

  • Bachelor’s degree or equivalent work experience
  • 3+ years of regulatory compliance experience
  • CRCM, or other compliance certification, a plus
  • Strong knowledge of the financial services industry, controls, and processes; prior financial services industry experience and/or regulatory experience a plus
  • Strong understanding of regulatory compliance concepts
  • Demonstrated track record of leading fieldwork for compliance testing
  • Ability to lead and develop staff and complete assignments within required time constraints and deadlines
  • Ability to travel
Benefits
  • Flexible PTO (designed to offer flexible time away for you!)
  • Up to 12 weeks paid parental leave
  • Paid Volunteer Time Off
  • Mental health coverage
  • Quarterly Wellness stipend
  • Fertility benefits

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory compliancecompliance reportingcompliance testingrisk assessmentfinancial services processesfieldwork coordinationtechnical assistance
Soft skills
client relationship managementmentorshipstaff developmenttime managementcommunication
Certifications
Bachelor’s degreeCRCM