Supervisor, Risk Consulting – Capital Markets Compliance

RSM US LLP

Supervisor in Risk Consulting at RSM ensuring compliance for banks and financial institutions. Managing compliance assessments, enhancing controls, and fostering client relationships in a dynamic environment.

Posted 5/12/2026full-timeDallas • New York, Texas • 🇺🇸 United StatesMid-LevelSenior💰 $85,100 - $161,700 per yearWebsite

About the role

Key responsibilities & impact

Manage and deliver assessments and other services covering compliance for banks and other financial institutions
Participate in the evaluation of the current state of the compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the compliance program
Participate in the development and implementation of compliance policies and controls
Participate in the independent testing or audits of all aspects of the client’s compliance program and suggest strategies and improvements for governance, monitoring, training and testing
Develop strong relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations

Requirements

What you’ll need

Five+ years of experience in related compliance, internal audit or other control-related functions in a national consulting firm or in the financial services industry
Extensive knowledge and expertise of FINRA, NFA compliance regulations and associated controls
Experience in the design and implementation of consumer bank compliance programs
Bachelor's degree in a related field
Compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.)

Benefits

Comp & perks

Competitive benefits and compensation package
Flexibility in your schedule

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program evaluationcompliance policy developmentindependent testingauditinggovernance strategiesmonitoringtrainingtestingconsumer bank compliance program designcontrols enhancement

Soft Skills

client relationship managementhigh quality client servicecommunicationadvisory skillsproblem-solving

Certifications

CRCMCIAsecurities registrations