Director - Regulatory Advisory

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: 2022-9677

Position Title:

External Description: Responsibilities

Director - Regulatory Advisory

Locations: New York/Chicago/Charlotte/Atlanta/Dallas/Tysons/Remote

Ready to Accelerate Your Career? Join our rapidly expanding advisory team!

Our Financial Services Advisory practice brings our global footprint, clients, industry expertise, and innovative solutions together to help global companies exceed their strategic objectives and needs. We have a national and global footprint with a significant portfolio of financial services clients spanning across banking, insurance, global markets, asset and wealth management, and payments. Our clients range from the largest, premier global banks, insurers, and financial institutions to super-regional and community banking clients, asset managers, and Fintech start-ups.

Who Makes A Highly Successful Advisor?

We are looking for team members to join our global, inclusive community of passionate financial services advisors. These diverse professionals should be highly skilled, entrepreneurial, and future focused - they are self-starters with curiosity and a passion for continuous learning. They possess a strong growth mindset that propels themselves and others forward, driving innovation through delivery, and helping clients succeed beyond their expectations.

Your New Career Challenge

Daily, you will have the opportunity to learn and work alongside a broad mix of highly talented subject matter leaders and team members both at FORVIS and at our clients. You will have an environment to explore and experience emerging, and relevant topics based on your interests and alignment to your short and long-term career goals.

How you will contribute:

• Preparing, reviewing, and signing off on daily and monthly 15c3-1 Capital computation
• Maintaining 15c3-1 capital procedures, control documentation, and spreadsheet compliance

• Interacting and providing support to FINRA, SEC, Internal, and public auditors
• Reviewing and preparing month-end 15c3-1 schedules for FOCUS Reporting
• Developing and executing strategies to evaluate the effectiveness of controls to mitigate compliance and operational risks
• Ensuring the Firm is aware of industry updates and implementing procedures for applicable regulatory rules and guidelines by engaging in industry forums, self-study, and independent research
• Communicating the results of various regulatory calculations to members of senior membership in a clear and concise way so they can be used when making decisions related to new business activity

• Maintaining and enhancing the existing regulatory control framework for monthly and quarterly reporting
• Proactively identifying operational risks/ control deficiencies in the business.
• Developing detailed description of procedures, which the broker-dealer utilizes to comply with regulatory reporting requirements
• Developing risk and process taxonomies for conducting risk assessments
• Promptly escalating and reporting operational risk loss events, control deficiencies, and regulatory risks to the relevant risk and control functions

• Partnering with various areas of the firm including but not limited to Financial Control, Operations, Product Control, Compliance, IT, and the business units to achieve collective results

We are looking for people who have Forward Vision and:

• Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
• Ability to work well both independently and as part of a team.
• Strong attention to details
• Ability to work with and communicate effectively to various levels throughout the organization through regular interaction with Senior and Executive Management across LPL

Qualifications

Minimum Qualifications:

• Bachelor's degree (or higher) (finance or accounting strongly preferred)
• 12+ years of professional experience supporting broker-dealer regulatory reporting (15c3-1 and 15c3-3).

• Previous experience in the financial services industry
• Series 27 license or Series 24/99 license
• Knowledge of broker-dea ler and investment advisor regulatory obligations
• Problem-solving skills that enable efficient identification of issues; structuring and execution of analysis; development of actionable recommendations; and implementation of those recommendations

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

New York

Pursuant to the pay transparency laws of New York City and Westchester County, New York, the salary range displayed is for the New York City and Westchester County, New York, markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. FORVIS reserves the right to make changes to the salary range based on business needs.

New York Salary Minimum

USD $181,400.00/Yr.

New York Salary Maximum

USD $290,000.00/Yr.

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Community / Marketing Title: Director - Regulatory Advisory

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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 a global presence and diversified service offerings, we provide our FORVIS team members with an abundance of career paths to choose from. We pride ourselves on building an inclusive culture where the backgrounds and talents of all our people are valued. We view our people as our most important asset and invest in them by providing competitive total rewards, professional development, and rewarding career opportunities.

About FORVIS

FORVIS is a professional services firm providing assurance, tax, and advisory services. Created by the merger of equals of BKD, LLP and Dixon Hughes Goodman, LLP (DHG), FORVIS is driven by the commitment to use our forward vision to deliver Unmatched Client Experiences™. Ranked among the top 10 public accounting firms in the country, FORVIS has 5,500 dedicated professionals who serve clients in all 50 states as well as across the globe. FORVIS is built upon the strong legacies of BKD and DHG, which are reflected in a name that comprises partner initials and represents our unique focus on preparing our clients for what is next. Visit forvis.com for additional information.

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, gender identity, 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.