Regulatory Compliance - Senior Associate Financial Services

About the role

An exciting opportunity is available in CLA's Financial Services Group on the Regulatory Compliance team. We are seeking a Senior Associate to in-charge and complete fieldwork on various regulatory compliance outsourcing projects.

Responsibilities

• Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives.
• Develop an understanding of the client's business activities, processes, and associated risks.
• Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members.
• Prepare compliance reports.
• Work with Managers, Directors, and clients to address compliance issues.
• Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self-education.
• Provide ongoing technical assistance support to clients.
• Assist in the completion of other engagements/special projects or duties as assigned.
• Mentor and train staff.

Requirements

• Bachelor’s degree is required. Combination of relevant experience, education, and training may be accepted in lieu of degree.
• 2 years of relevant experience required.
• CRCM or other compliance certification is a plus.
• Strong knowledge of the financial services industry, controls, and processes; prior financial services industry experience and/or regulatory experience a plus.
• Strong understanding of regulatory compliance concepts.
• Demonstrated track record of leading fieldwork for compliance testing.
• Ability to lead and develop staff and complete assignments within required time constraints and deadlines.
• Ability to travel.

Benefits

To support our CLA family members, we focus on their physical, financial, social, and emotional well-being and offer comprehensive benefit options that include health, dental, vision, 401k, and much more.

View a complete list of benefits.

Pay

Our approach to compensation emphasizes collaboration and career growth. We pay competitive wages and view compensation as an investment in our people. Factors such as geography, experience, education, skills, and knowledge may impact the position of pay within the range.

• Colorado: $80,000.00 - $131,000.00
• Minnesota: $74,000.00 - $126,000.00
• Virginia: $93,000.00 - $141,000.00
• Maryland: $87,000.00 - $141,000.00