Regulatory Advisory Consultant

Multiple Locations: United States • New York, NY, USA • Tysons, VA, USA • Richmond, VA, USA • Tampa, FL, USA

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Company Profile:

At FORVIS, your career is designed with a purpose. We want our team members to thrive professionally and feel the impact their work yields when serving clients, industries, and local communities. This starts by empowering team members to design a career journey that leverages their skills and fuels their passions.

Creating a best-in-class employee experience is at the heart of our vision for the future. With several industry focus areas, multiple service lines, and locations in five geographical regions across the country to choose from, the opportunities for your career are without limit.

About FORVIS

FORVIS is a Top-10 professional services firm providing assurance, tax, and advisory services, driven by our commitment to using our forward vision to provide rewarding career opportunities and deliver unmatched client experiences. Learn more at FORVIS.com

Design your career with purpose at FORVIS. For more information about our firm locations, visit FORVIS.com. FORVIS, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, or other protected classifications.

It is FORVIS's standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

• FORVIS expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
• FORVIS further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with FORVIS.
• Any resume or CV submitted to any employee of FORVIS without having a FORVIS vendor agreement in place will be considered the property of FORVIS.

Requisition Number: 2022-9403

Position Title:

External Description: Responsibilities

How you will contribute:

  • Advising and assisting clients on requirements of their BSA/AML Compliance Program
  • Assessing BSA/AML risk at the enterprise and/or business unit level and helping implement detection and comprehensive compliance programs
  • Conducting BSA/AML Risk Assessments for the purposes of assessing risks within various lines of business and ensuring proper controls are in place to mitigate identified risks
  • Understanding complex AML investigations and analysis in diversified operations
  • Managing all phases of the engagement, including the execution of the project deliverables, communications with the project team
  • Managing the relationship with client-side project members to facilitate project fulfillment
  • Identification of significant emerging issues that impact our client base


We are looking for people who have Forward Vision and:

  • Independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
  • Highly Proficient verbal and written English communication skills; ability to communicate effectively
  • Professional demeanor toward duties and responsibilities, particularly with regard to independence, professional ethics, and the exercise of professional judgment
  • Must be reliable and able to meet deadlines
  • Strong organizational, time management, and interpersonal skills


This position is open to remote

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Qualifications

Minimum Qualifications

  • BA or BS in Accounting, Finance, Business, or related field
  • 0-3 years of relevant work experience
  • Operational knowledge of swaps accounting and processing
  • Understanding of SEA Rule 15c3-3 Customer Reserve and 15c3-1 Net Capital
  • Understanding and ability to apply knowledge of FINRA Rule 4210 Margin
  • Proficiency in MS Office: Word, Excel, PowerPoint and Outlook
  • Desired proficiency in AxiomSL and Broadridge


Preferred Qualifications:

  • Master's Degree in a related field
  • Ability to travel
  • Knowledge of SWAPs Processing and Accounting

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Community / Marketing Title: Regulatory Advisory Consultant

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