Senior Associate, Risk Consulting – Capital Markets Compliance

RSM US LLP

Senior Associate in Risk Consulting focusing on BD and FCM compliance at RSM. Engaging with clients to enhance compliance programs and meet regulatory standards.

Posted 5/12/2026full-timeDallas • New York, Texas • 🇺🇸 United StatesSenior💰 $73,500 - $139,700 per yearWebsite

About the role

Key responsibilities & impact

Participate in assessments and other services covering BD and/or FCM/IB 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
Participate in the response to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices
Develop relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations
Participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion
Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications

Requirements

What you’ll need

Two+ years of experience in BD and/or FCM/IB compliance, internal audit or other control-related functions in a national consulting firm or in the financial services industry
Strong knowledge of SEC, FINRA and/or CFTC, NFA compliance regulations and associated controls
Experience in a regulatory body preferred
Exposure to the design and implementation of compliance programs
Good verbal/written communication, leadership, analytical and client service skills, and ability to present to other team members
Ability to exercise independence of judgement and autonomy
High ethical standards
Bachelor’s degree in a related field
Relevant compliance or audit certifications (e.g. CRCM, CIA, securities registrations, etc.) preferred

Benefits

Comp & perks

Flexibility in your schedule, empowering you to balance life’s demands
Competitive benefits and compensation package

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

BD complianceFCM complianceIB complianceinternal auditcompliance program designregulatory compliancerisk assessmentgovernancemonitoringcorrective action plan

Soft Skills

verbal communicationwritten communicationleadershipanalytical skillsclient serviceindependence of judgementautonomyhigh ethical standards

Certifications

CRCMCIAsecurities registrations