We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.
RSM is seeking a detail-oriented and proactive Consumer Compliance Audit Specialist to join our team. The successful candidate will assist in executing audits with a focus on consumer compliance and perform validation work related to process enhancements. This role involves ensuring compliance with regulatory requirements and internal policies, particularly in areas such as issues management, complaint handling, reporting, and escalation. The primary products covered include credit cards and deposit accounts.
Key Responsibilities:
- Assist in the execution of audits focused on consumer compliance.
- Perform validation work related to process enhancements, including issues management, complaint handling, reporting, and escalation.
- Ensure adherence to consumer compliance regulations and internal compliance management systems.
- Conduct monitoring and testing to assess the effectiveness of compliance controls.
- Participate in risk assessments to identify and mitigate compliance risks.
- Prepare detailed audit reports and escalate findings as necessary.
- Collaborate with various departments to ensure timely resolution of compliance issues.
- Stay updated on regulatory changes and industry best practices related to consumer compliance.
Qualifications:
- Experience: 6+ years in AML, audit, legal, or compliance roles within the financial services industry.
- Skills: Strong leadership, communication, and client service skills.
- Education: Bachelor’s degree (preferred)
- Travel: Willingness to work on-site in Dallas or New York City 2-3 days per week
Preferred Qualifications:
- Professional certifications such as Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM), or similar.
- Experience with credit card and deposit account products.
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 careers@rsmus.com.
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.
Compensation Range: $66 - $79 per hour
Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.
