Senior Associate, Regulatory Compliance – Financial Services

CLA (CliftonLarsonAllen)

Senior Associate leading regulatory compliance outsourcing fieldwork for CLA’s financial services clients. Preparing compliance reports, addressing issues, and mentoring staff.

Posted 8/5/2026full-timeBaltimore • Colorado, Maryland, Minnesota, Virginia • 🇺🇸 United StatesSenior💰 $87,000 - $141,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates strong expertise in regulatory compliance within the financial services industry, with a focus on leading compliance testing and mentoring staff. Proven ability to manage client relationships and deliver projects within budget and deadlines.

Highest-signal resume keywords

Regulatory ComplianceFinancial Services Industry KnowledgeCompliance Testing LeadershipStaff DevelopmentCRCM Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ReportingFieldwork CoordinationRisk AssessmentBudget ManagementTechnical Assistance

Soft Skills

Client Relationship ManagementMentoringTeam LeadershipTime Management

Certifications & Qualifications

CRCM Certification

Industry Keywords

Regulatory Compliance ConceptsFinancial Services ControlsCompliance IssuesIndustry Developments

About the role

Key responsibilities & impact

Work with clients and Financial Services staff to fulfill engagement and relationship objectives
Complete work within budgets and coordinate resources to meet objectives
Develop an understanding of clients’ business activities, processes, and associated risks
Coordinate timely completion of fieldwork with the lead director
Oversee assigned staff members’ work
Prepare compliance reports
Work with Managers, Directors, and clients to address compliance issues
Keep current with industry developments in regulatory compliance through formal and self-education
Provide ongoing technical assistance to clients
Assist with other engagements, special projects, or assigned duties
Mentor and train staff

Requirements

What you’ll need

Bachelor’s degree is required, or a combination of relevant experience, education, and training may be accepted in lieu of degree
2 years of relevant experience required
CRCM or other compliance certification is a plus
Strong knowledge of the financial services industry, controls, and processes
Prior financial services industry experience and/or regulatory experience is a plus
Strong understanding of regulatory compliance concepts
Demonstrated track record of leading fieldwork for compliance testing
Ability to lead and develop staff
Ability to complete assignments within required time constraints and deadlines
Ability to travel

Benefits

Comp & perks

Health insurance
Dental insurance
Vision insurance
401(k)
Wellness support focused on physical, financial, social, and emotional well-being
Career growth opportunities
Exposure to different roles and experiences
Choice of industry specialization, service capability, career path, and mobility