Temporary Supervisor – Regulatory Compliance (Financial Services)
Sign up free to see how well your resume matches this role.
What you'll do
- Lead and supervise regulatory compliance engagements for financial services clients.
- Execute and review compliance testing, monitoring activities, risk assessments, and independent reviews.
- Evaluate compliance management systems (CMS), governance frameworks, policies, procedures, and internal controls.
- Assess compliance risks related to consumer protection regulations and identify control gaps.
- Develop clear, actionable findings and recommendations for client management.
- Manage project timelines, deliverables, budgets, and client communications.
- Mentor junior team members and review workpapers, testing documentation, and reports.
- Support regulatory remediation efforts, compliance program enhancements, and ongoing monitoring initiatives.
- Assist clients with regulatory examination readiness and response activities.
What they're looking for
- 6+ years of experience in regulatory compliance, risk management, internal audit, or consulting within the financial services industry.
- Demonstrated experience leading or supervising second-line and/or third-line regulatory compliance engagements.
- Subject matter expertise in consumer compliance regulations impacting banks, credit unions, broker-dealers, or other financial institutions.
- Experience executing compliance reviews, monitoring and testing programs, risk assessments, audits, and regulatory examinations.
- Strong knowledge of regulatory expectations and requirements from agencies such as: Consumer Financial Protection Bureau (CFPB), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve Board (FRB), State regulatory agencies
- Experience developing findings, remediation recommendations, and executive-level reporting.
Nice to have
- Experience within a consulting firm, Big Four firm, regulatory agency, or large financial institution.
- Experience supporting regulatory examinations, consent orders, or remediation programs.
- Professional certifications such as: CRCM, CIA, CISA, CAMS, Similar compliance or risk-related certifications
- Excellent written and verbal communication skills with the ability to present to senior leadership and stakeholders.
- Experience reviewing compliance management systems, risk assessments, or regulatory testing programs.
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
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.
Temporary Supervisor – Regulatory Compliance (Financial Services)
Overview
RSM is seeking an experienced Temporary Supervisor - Regulatory Compliance to support regulatory compliance, risk management, and assurance engagements for financial services clients. This role is ideal for a compliance professional with experience leading second-line and/or third-line reviews, compliance testing programs, regulatory remediation initiatives, and consumer compliance assessments within banking and financial services environments.
The Supervisor will lead project execution, oversee testing activities, manage client relationships, and provide guidance to team members while delivering high-quality regulatory compliance solutions. The role focuses on regulatory compliance programs, compliance management systems (CMS), risk assessments, monitoring and testing activities, and regulatory remediation efforts.
Required Qualifications
- 6+ years of experience in regulatory compliance, risk management, internal audit, or consulting within the financial services industry.
- Demonstrated experience leading or supervising second-line and/or third-line regulatory compliance engagements.
- Subject matter expertise in consumer compliance regulations impacting banks, credit unions, broker-dealers, or other financial institutions.
- Experience executing compliance reviews, monitoring and testing programs, risk assessments, audits, and regulatory examinations.
- Strong knowledge of regulatory expectations and requirements from agencies such as:
- Consumer Financial Protection Bureau (CFPB)
- Office of the Comptroller of the Currency (OCC)
- Federal Deposit Insurance Corporation (FDIC)
- Federal Reserve Board (FRB)
- State regulatory agencies
- Experience developing findings, remediation recommendations, and executive-level reporting.
Key Responsibilities
- Lead and supervise regulatory compliance engagements for financial services clients.
- Execute and review compliance testing, monitoring activities, risk assessments, and independent reviews.
- Evaluate compliance management systems (CMS), governance frameworks, policies, procedures, and internal controls.
- Assess compliance risks related to consumer protection regulations and identify control gaps.
- Develop clear, actionable findings and recommendations for client management.
- Manage project timelines, deliverables, budgets, and client communications.
- Mentor junior team members and review workpapers, testing documentation, and reports.
- Support regulatory remediation efforts, compliance program enhancements, and ongoing monitoring initiatives.
- Assist clients with regulatory examination readiness and response activities.
Preferred Qualifications
- Experience within a consulting firm, Big Four firm, regulatory agency, or large financial institution.
- Experience supporting regulatory examinations, consent orders, or remediation programs.
- Professional certifications such as:
- CRCM
- CIA
- CISA
- CAMS
- Similar compliance or risk-related certifications
- Excellent written and verbal communication skills with the ability to present to senior leadership and stakeholders.
- Experience reviewing compliance management systems, risk assessments, or regulatory testing programs.
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. For those living in California or applying to a position in California, please click here for additional information.
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: $52 - $78 per hourCompany
Company facts come from this company's own listings. We only show what the postings themselves carry.