Manager – Securities Compliance QA, Global Banking
RSM US LLP
full-time
Posted on:
Location Type: Office
Location: Philadelphia • Pennsylvania • Texas • United States
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Salary
💰 $54 - $80 per hour
About the role
- Perform risk-based compliance QA reviews across Broker-Dealer and RIA environments.
- Independently assess first line policies, procedures, supervisory controls, and surveillance programs.
- Validate regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
- Support regulatory exams, issue validation, and remediation efforts.
- Identify control gaps, root causes, and emerging compliance risks impacting Global Banking clients.
- Partner with Compliance, Legal, Risk, and Business stakeholders to drive timely remediation.
Requirements
- 5+ years of securities compliance, compliance testing, QA, or regulatory oversight experience.
- Experience operating in a second line of defense capacity.
- Strong knowledge of Broker‑Dealer and RIA regulatory requirements.
- Experience supporting large or complex banking/financial services organizations.
- Ability to work independently in a fast-paced, client-delivery environment.
- Preferred prior CCO, senior compliance, or regulatory remediation experience.
- Series 7, 24, 63, SIE (active or previously held).
Benefits
- flexibility in your schedule
- empowering you to balance life’s demands
- health insurance
- retirement plans
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance QA reviewsregulatory compliancerisk assessmentcompliance testingregulatory oversightsurveillance programsremediation effortscontrol gap identificationroot cause analysisemerging compliance risks
Soft Skills
independent workclient deliverystakeholder partnershiptimely remediation
Certifications
Series 7Series 24Series 63SIE