Our award-winning client is seeking a Manager-level professional to join their dynamic Risk Advisory group. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC examinations and stay in compliance with these regulators.

• Co-lead the team, assisting with the execution and completion of operational, regulatory compliance, and business process control reviews
• Perform evaluation and testing of Anti-Money Laundering and compliance programs to identify areas of risk
• Develop creative and practical solutions for improvements that address identified risks
• Identify and communicate technical matters to both clients and engagement team.
• Develop and maintain client relationships
• Actively assist with business development efforts

What Skills You’ll Bring:

• 6 – 8 years of experience at a broker dealer, investment adviser, or within a regulatory compliance environment
• Bachelor’s degree in a relevant technical field
• Strong analytical skills
• Computer proficiency in Microsoft Office, specifically Excel
• Ability to effectively communicate with management and clients
• Bilingual in Spanish preferred
• Attentive to details

How You’ll Stand Out:

• Industry-specific certifications
• Ability to work overtime
• Ability to periodically travel to different engagements