Director- AML/Regulatory Compliance
Los Angeles, CA 
Posted 1 day ago
Job Description
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Over the last several years regulatory agencies have implemented risk-focused examinations to evaluate compliance with applicable laws and regulations for financial institutions, specialty finance and financial services companies. Today, financial organizations are operating in a complex challenging environment due to global economic pressure, increasing regulatory demands, consumer awareness, terrorism, drug enforcement, capital requirements as well as significant operational and technology changes. At RSM US LLP (Firm), our Anti-Money Laundering (AML) and Regulatory Compliance Consulting team advises clients to proactively identify, manage, and mitigate regulatory risk.

We have an exciting opportunity for a Director level role in our Western region. In this role, you will help financial institutions, specialty finance and financial services companies in our West region respond to their most complex regulatory and compliance challenges. Atthe Firmwe help clients protect their reputations by effectively controlling their regulatory risk. The AML and Regulatory Compliance Consulting practice primarily focuses on four industry sectors: (1) banking services; (2) broker dealer, and advisory clients; (3) forex futures, swaps, and derivatives; and (4) non-banks specialty finance.

As an AML and Regulatory Compliance specialist in the West, you will be joining our rapidly growing Risk Advisory Services practice, assisting clients in managing operational, financial, and technology risks as well asdesigning and implementing process improvements that can lead to increased value, revenue, or cost containment. Risk & Regulatory consultants help clients understand and address clients' enterprise regulatory risk.The firm's Risk Advisory Service offerings include: Regulatory Compliance, Internal Audit Transformation, Information Technology Internal Audit, Security and Privacy, Sarbanes Oxley Advisory, Contract Compliance and Cost Recovery, Governance, Risk and Compliance and Enterprise RiskManagement, and Anti-Fraud along with traditional assurance and tax services.

The Director-level position will work with Partners, Directors, marketing specialists and business development professionals to increase opportunities for delivering AML and regulatory compliance services and assisting in building the regulatory compliance practice using their knowledge, expertise, talent and industry connections. Risk and Regulatory Consulting provides end-to-end advisory services to executives and boards that are designed to help create and protect value, and increase effective management of strategic, regulatory, financial, operational, and compliance risks on a sustained basis. Through this practice we offer clients the solutions of: design of regulatory compliance programs, regulatory risk management programs, mock regulatory reviews, conducting independent compliance reviews on behalf of regulators and management, supporting internal audit functions in internal audits of compliance, supporting ongoing quality control mechanisms and developing compliance policies, procedures and methodologies along with remediation projects to address internal or regulatory improvement efforts.The firmuses established and regulatory-based compliance frameworks to deliver sound risk assessment strategy advice. Our approach, developed through years of experience, is designed to identify, measure and reduce the regulatory compliance vulnerabilities our clients face.

We know tools and techniques only go so far in exposing risk to our clients and that our success depends upon the strength of our consultants. A sound environment in regulatory compliance can be achieved by our clients by using our deep bench of experienced consultants, equipped with the latest regulatory requirements, industry best practices, and subject matter expertise. You will help lead business development activities and provide oversight on client engagements. You will be responsible for contributing to a regional team of regulatory compliance professionals that will deliver our services and enhance our national brand in regulatory compliance. You will also operate as a key member of our regional and national regulatory compliance network. If you enjoy working with clients and colleagues to improve business effectiveness, create sustainable efficiencies, add value by matching Firm capabilities with client needs, and expand our world class consulting organization, then we invite you to help drive our growth in regulatory compliance.

Responsibilities Include:

  • Assist in managing financial strategy planning, development, execution and achievement of defined financial plan objectives
  • Serve as a key "market-facing" member of our team by leading growth activities for Risk Advisory Service offerings with specific emphasis on AML and regulatory compliance services. Promote cross selling and integration of service lines of business.
  • Lead efforts in identifying and retaining new client relationships through business development and existing or new industry connections
  • Contribute to strong client relationships through positive client support, sound expertise and project quality control
  • Work individually and as part of a team to provide project execution on client engagements
  • Use proven tools and techniques to execute project deliverables in a manner congruent with our client's business objectives
  • Manage engagement fundamentals (e.g., realization, utilization, leverage, accounts receivable, and expenses)
  • Mentor, coach, and train staff and attract, develop, and retain talent
  • Heighten thefirm brand by demonstrating thought leadership and embracing thefirm marketing campaign and programs supported by the firm
  • Team with other lines of business to provide comprehensive solutions to meet clients' needs
  • Collaborate regionally and nationally on workforce deployment and utilization

Experience required:

  • Proven experience in marketing, business development and sales of AML and regulatory compliance services to financial institutions, specialty finance and/or financial services companies as part of a professional services organization
  • Application of AML and regulatory compliance expertise in a consulting, financial institution, specialty finance, financial services or regulatory environment

Basic Qualifications:

  • 15+ years' experience with federal regulatory compliance laws and regulations in a financial institution, specialty finance, financial services, regulatory agency, or consulting capacity
  • Bachelor's degree, Business or Law
  • Excellent verbal, written, and interpersonal communication skills

Preferred Qualifications:

  • Master's degree in business, a law degree or equivalent consulting industry experience
  • Practice development and management, marketing, and thought leadership
  • Significant experiencein managing client relationships and leveraging them into new business advisory opportunities
  • Professional certification such as CRCM or CAMS
  • Ability to travel 35% of the time

You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.

Experience RSM US. Experience the power of being understood.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.

Job ID:
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Line of Business:
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Consulting Services
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RC AML and Reg Compliance
Job Type:
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Req #:
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Los Angeles, CA US
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West Region
Job Category:
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Business Consulting/Technology
Employment Type:
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Degree Required:
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Job Summary
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
15+ years
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