Regulatory Advisory Lead Consultant

Location: United States


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.


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

Design your career with purpose at FORVIS. For more information about our firm locations, visit 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: 2022-9680

Position Title:

External Description: Responsibilities

How you will contribute

  • Managing relationships with client-side stakeholders to facilitate project fulfillment
  • Serving as a key client contact by planning, coordinating, and executing cross-functional risk management projects
  • Exercising independent thinking skills by making decisions related to Finance and Accounting Transformation, Regulatory change, and Data Management.
  • Driving and supporting a book of business that provides excellent, relevant services to the market
  • Managing, developing, and mentoring direct reports with the goal of fostering their career development
  • Managing all phases of the project life cycle, including the execution of deliverables, team communications, staffing requirements, job planning, and scheduling
  • Staying up to date on developments regarding the market, changes in regulation, new technology, etc.
  • Creating and developing Knowledge Share documentation on regulatory topics related to broker-dealers
  • Leading multiple project teams simultaneously in order to deliver exceptional client service

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



Minimum Qualifications:

  • 5 years or more of experience in relevant roles within the Financial Services sector, focusing on US banks or FBOs, broker-dealers, lending operations, or data life cycle
  • BA or BS in Accounting, Finance, Business, or related field
  • 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
  • Understanding of CFTC Secured and Segregation Computations
  • Experience leading a group for a clearing broker-dealer
  • Proficiency in MS Office: Word, Excel, PowerPoint and Outlook
  • Desired proficiency in AxiomSL and Broadridge

Preferred Qualifications:
  • Master's Degree in a related field
  • 2 years or more of professional-level project management experience
  • 6 years or more of advisory or consulting experience
  • Ability to travel
  • Prior experience managing multiple teams of 2 or more full-time employees
  • Knowledge of SWAPs Processing and Accounting



Community / Marketing Title: Regulatory Advisory Lead Consultant