Risk Consulting Manager - Financial Services

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About the Role
RSM’s Global Banks Practice is seeking a seasoned Manager with expertise in internal audit and compliance QA to support a large global banking client. This temporary engagement focuses on risk management, compliance oversight, regulatory issue remediation, and quality assurance, emphasizing independent assurance activities, control validation, and remediation oversight.

Top Priorities / Key Focus Areas

• Prior experience validating issues raised by regulators.

• Financial institution audit experience.

• Fair Lending and UDAAP experience.

  • Working knowledge of key consumer regulatory topics/concepts, including: Compliance Management Systems (CMS), Fair Lending, UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), HMDA, TCPA, FCRA, SCRA.

• Auditing compliance functions: compliance management systems, risk assessments, regulatory inventory, and program effectiveness.

• Auditing 2nd Line Testing and/or Monitoring functions.

Key Responsibilities

• Lead and execute internal audit reviews, including validation of regulatory findings and control remediation.

• Oversee compliance QA reviews across operational and regulatory processes.

• Assess the effectiveness of risk management, compliance, and control frameworks.

• Perform regulatory issue validations (BSA/AML, OFAC, and other financial crimes compliance).

• Design and execute audit/QA programs, testing plans, and reporting.

• Provide independent assurance and QA oversight of remediation strategies.

• Advise on coordination between the 2nd and 3rd lines of defense to align with regulatory expectations.

• Recommend and support the implementation of process improvements and risk mitigation measures.

Qualifications

• 8+ years of internal audit and compliance QA experience in large/global banks.

• Strong knowledge of BSA/AML, OFAC, financial crimes, and regulatory frameworks.

• Proven success in validating remediation of regulatory and control issues.

• Solid understanding of 2nd and 3rd line functions and independent assurance.

• Fair Lending and UDAAP expertise, including key consumer regulatory concepts (CMS, HMDA, TCPA, FCRA, SCRA).

• Experience in auditing compliance programs, risk assessment, and 2nd line monitoring/testing functions.

• Excellent analytical, communication, and stakeholder management skills.

• Big Four or top consulting experience is highly desirable.

Engagement Details

• Temporary engagement – duration based on client project needs.

• Opportunity to work directly with a large global banking client on complex risk, compliance, and audit initiatives.

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 also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at [email protected].

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM’s background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.

At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.