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Jobs · Quality Assurance · Texas

Manager– Securities Compliance QA (Global Banking)

RSM US LLP · Dallas, TX · 2 wk ago
Quality Assurance$54–$80/hrFull-time

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally.

About the role

RSM is seeking a temporary Manager-level Securities Compliance QA professional to support the Global Banking Practice. This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker-Dealer and RIA compliance programs for banking and wealth management clients.

Responsibilities

  • 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.

Qualifications

  • Prior CCO, senior compliance, or regulatory remediation experience (preferred).
  • Series 7, 24, 63, 65, 66, SIE (active or previously held).

Benefits

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands while maintaining your ability to serve clients. Learn more about our total rewards.

Pay

Compensation Range: $54 - $80 per hour.

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