Regulatory Compliance Principal

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About the role

As a principal, you’ll play a key role – supervising engagements and assuming responsibility for a variety of services including but not limited to compliance reviews, operational reviews, compliance management system assessments, policy review, and risk assessment/planning. This position will include a strong emphasis on developing staff and providing effective leadership. In addition, the role will include defined practice-development objectives aimed at driving revenue growth, along with broader client management responsibilities.

Responsibilities

• Lead internal audit and consulting services related to the laws, regulations, and expectations associated with financial crimes compliance, consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending), and other general risk management activities such as model risk management and enterprise risk management programs.
• Manage and prioritize multiple client engagements while meeting agreed upon deadlines and ensuring frequent communication occurs with both internal and client stakeholders.
• Develop findings and recommendation reports and communicate the results with clients.
• Perform quality control reviews to ensure internal workpaper and deliverable standards are met.
• Supervise and develop team members in the areas of client engagement management and applied regulatory compliance knowledge.
• Assist in preparing and delivering proposals and engagement letters.
• Develop internal and external networks to further the business development goals of the practice.
• Participate in internal and external networking events, including client meetings, industry events, etc.
• Formal business development (prospecting to close) in a team-supported environment.

Requirements

• Bachelor’s degree required
• Minimum of 10 years of experience in working in the financial services industry
• Prior experience in consulting or professional services is required
• Well versed with financial crimes compliance or consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending)
• CAMS, CRCM, CERP, or similar designations are highly preferred
• Must have the ability to follow work plans and understand banking vocabulary
• The ability to have scoping meetings with prospective clients and be able to develop proposals and engagement letters
• Ability to engage in client expansion, contributing to fees sold; recognizes the importance of lead generation
• Self-starter; ability to work under minimal supervision
• Complete projects within budget while delivering high quality
• Balance client, practice development, and administrative demands
• Strong interpersonal and written communication skills required
• Promote positive working relationships with diverse personalities/roles at all levels in the firm
• Frequent travel throughout the region, with approximately 20% - 30% travel

This is an exempt position, so you may have to work hours that exceed the standard 40-hour work week.

Benefits

We are pleased to offer eligible staff a robust benefits package. Eligibility and contribution requirements for some of these benefits vary based on the number of hours staff work per week. Highlights include:

• Health, dental, vision, disability, and life insurance
• Flexible Time Off and various pre-determined holidays
• 401(k) plan and flexible benefits plans
• Business-related travel expense, lodging, and meal reimbursement for business-related use
• Pension plan available for eligible administrative and paraprofessional staff
• Discretionary bonus plan available for eligible staff
• Some contingent staff positions have the option to elect health insurance in addition to limited paid sick time

Pay

The compensation range reflects the base salary we reasonably expect to pay for this position across our offices in the following regions: CO, IL, OH, and MA. The range for this role in these regions is: $175,000.00 - $225,000.00.

Compensation decisions take into account a wide variety of factors, including but not limited to: responsibilities, education, experience, knowledge, skills, and geography. Generally, experienced hires are not hired at or near the maximum salary range.

For early career roles, including campus hires, we offer standardized, market-based starting salaries among individuals within the same hiring group.