Manager, Risk Consulting – Capital Markets and Asset Management

RSM US LLP

. Manage and deliver regulatory compliance assessments and other services for broker-dealers and registered investment advisers .

Posted 10/6/2026full-timeUnited StatesMid-LevelSenior💰 $101,000 - $203,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance assessments for broker-dealers and registered investment advisers, with a strong focus on evaluating compliance programs, conducting audits, and developing corrective action plans. Proven ability to manage client engagements, lead teams, and communicate effectively with stakeholders.

Highest-signal resume keywords

Regulatory Compliance AssessmentsBroker-Dealer ComplianceInternal Audit EngagementsClient Relationship ManagementRisk Assessment and Control Environments

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingERM FrameworksSEC and FINRA RulesFOCUS ReportingForm ADVReg BIProcess ImprovementAudit PlanningWork Program DesignBudget Management

Soft Skills

LeadershipCommunicationClient Relationship ManagementCoachingCollaboration

Certifications & Qualifications

CPACIACRCMCAMSFRMSeries 7Series 24Series 99

Industry Keywords

Broker-DealerRegistered Investment AdvisersRegulatory ComplianceFinancial ServicesPublic AccountingConsultingRisk AssessmentCompliance ProgramsAudit PlansClient Engagements

About the role

Key responsibilities & impact

Manage and deliver regulatory compliance assessments and other services for broker-dealers and registered investment advisers
Evaluate compliance programs, identify deficiencies, enhance controls, and advise on improvements
Conduct independent testing or audits of client compliance programs
Develop corrective action plans in response to enforcement actions
Build relationships with existing and prospective banking and financial services clients
Manage engagements including planning, execution, workpaper review, report preparation, and wrap-up
Conduct exit and closing meetings and communicate review conclusions and potential improvements
Stay abreast of industry regulatory changes and develop professional competency
Model RSM values and collaborate across levels and disciplines
Lead risk assessment interviews and develop internal audit plans
Review deliverables including process narratives, flowcharts, risks, control gaps, remediation, and process improvements
Manage engagement economics, billing, monitoring, collections, and client expectations
Manage multiple clients, projects, teams, and a book of business
Participate in industry associations and events
Build internal and external networks and cultivate new business opportunities
Develop and deliver thought leadership
Assess prospect needs and develop project scopes, delivery plans, and budgets
Contribute to proposals and other pursuit materials

Requirements

What you’ll need

Bachelor's degree in Accounting, Finance, Business Administration, Economics or related field
4+ years of relevant professional experience
Prior experience at a Big Four or comparable national public accounting/consulting firm
Experience in broker-dealer and/or asset manager (RIA) regulatory compliance
Working knowledge of applicable SEC and FINRA rules and examination priorities
Hands-on experience designing, assessing, or advising on ERM frameworks, risk assessments, and internal control environments
Ability to lead internal audit, compliance testing, and advisory engagements, including scoping, work program design, testing, and reporting
Preferred certifications include CPA, CIA, CRCM, CAMS, FRM, or Series 7/24/99 licenses
Familiarity with front-to-back operations of broker-dealers and/or investment advisers
Exposure to FOCUS reporting, Form ADV, Reg BI, and related regulatory filings
Experience managing multiple concurrent client engagements, budgets, and staff
Proven ability to lead, coach, and develop engagement teams and review deliverables for quality
Strong executive presence and client relationship management skills
Excellent written and verbal communication skills
Ability to manage ambiguity across diverse client types, regulatory regimes, and business models

Benefits

Comp & perks

Competitive benefits and compensation package
Flexible schedule
Discretionary bonus based on firm and individual performance
Career development and mentorship opportunities
Continuing education and opportunities to obtain additional professional certifications
Diverse and inclusive culture
Reasonable accommodation for applicants with disabilities