Senior Associate, Regulatory Compliance – Financial Services

CLA (CliftonLarsonAllen)

full-time

Posted on: 1/8/2026

Location Type: Hybrid

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💰 $71,800 - $129,000 per year

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.

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

Applicant Tracking System Keywords

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

Hard Skills & Tools

regulatory compliancecompliance reportingcompliance testingrisk assessmentfinancial services processesfieldwork coordinationtechnical assistance

Soft Skills

client relationship managementmentorshipstaff developmenttime managementcommunication

Certifications

Bachelor’s degreeCRCM