Regulatory Compliance Principal

Plante Moran

Regulatory compliance principal leading financial-crimes and consumer-protection audits for Plante Moran, an audit, tax, consulting, and wealth-management firm. Supervising teams, advising clients, and driving practice growth.

Posted 8/12/2026full-timeChicago • Colorado, Illinois, Massachusetts, Ohio • 🇺🇸 United StatesLead💰 $175,000 - $225,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in financial crimes compliance and consumer protection laws, with a strong focus on client engagement management and regulatory compliance. Proven ability to lead teams, develop proposals, and manage client relationships to drive business development and revenue growth.

Highest-signal resume keywords

Financial Crimes ComplianceConsumer Protection LawsCAMS CertificationClient Engagement ManagementBusiness Development

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AssessmentCompliance ReviewsOperational ReviewsQuality Control ReviewsProposal DevelopmentEngagement LettersLead GenerationProject ManagementBudget ManagementStakeholder Communication

Soft Skills

Interpersonal SkillsWritten CommunicationLeadershipTeam DevelopmentRelationship Building

Certifications & Qualifications

CAMSCRCMCERP

Industry Keywords

Financial ServicesAMLTILARESPARegulation EFair LendingCompliance Management SystemConsulting ServicesClient RelationshipsPractice Development

About the role

Key responsibilities & impact

Supervise engagements and assume responsibility for compliance reviews, operational reviews, compliance management system assessments, policy reviews, and risk assessment/planning
Lead internal audit and consulting services related to financial crimes compliance, consumer protection laws and regulations, and general risk management activities
Manage and prioritize multiple client engagements while meeting deadlines and maintaining frequent stakeholder communication
Develop findings and recommendation reports and communicate results to clients
Perform quality control reviews of workpapers and deliverables
Supervise and develop team members in client engagement management and regulatory compliance knowledge
Prepare and deliver proposals and engagement letters
Develop internal and external networks to support practice business-development goals
Participate in client meetings, industry events, and other networking events
Conduct team-supported business development from prospecting through close
Develop staff and provide effective leadership
Manage client relationships and defined practice-development objectives aimed at revenue growth
Balance client, practice-development, and administrative demands
Travel throughout the region approximately 20%–30%

Requirements

What you’ll need

Bachelor’s degree required
Minimum of 10 years of experience working in the financial services industry
Prior experience in consulting or professional services required
Well versed in financial crimes compliance or consumer protection laws and regulations, including AML, TILA, RESPA, Regulation E, and Fair Lending
CAMS, CRCM, CERP, or similar designations highly preferred
Ability to follow work plans and understand banking vocabulary
Ability to conduct scoping meetings with prospective clients and develop proposals and engagement letters
Ability to engage in client expansion and contribute to fees sold
Ability to generate leads
Self-starter able to work under minimal supervision
Ability to complete projects within budget while delivering high quality
Ability to balance client, practice-development, and administrative demands
Strong interpersonal and written communication skills required
Ability to promote positive working relationships with diverse personalities and roles
Frequent regional travel, approximately 20%–30%
Exempt position; may require working beyond a standard 40-hour week
Must be legally authorized to work in the United States without sponsorship, except qualified bilingual candidates in Japanese and English or Chinese and English

Benefits

Comp & perks

We-care culture prioritizing growth, well-being, and success
Flexible and balanced working environment through the “Workplace for Your Day” model
Health insurance
Dental insurance
Vision insurance
Disability insurance
Life insurance
Flexible Time Off
Various pre-determined holidays
401(k) plan
Flexible benefits plans
Business-related travel expense, lodging, and meal reimbursement
Pension plan for eligible administrative and paraprofessional staff
Discretionary bonus plan for eligible staff
Contingent staff option to elect health insurance
Limited paid sick time for eligible contingent staff