Regulatory Compliance Principal

Job description

Count on us. Our "we-care" culture is more than just a motto; it's a promise. From day one, we prioritize your growth, well-being, and success. You can count on us to support your career journey and help you achieve your professional goals. Join us. As a principal, you’ll play a key role – supervising engagements and assuming responsibility for a variety of services including but not limited to compliance reviews, operational reviews, compliance management system assessments, policy review, and risk assessment/planning. This position will include a strong emphasis on developing staff and providing effective leadership. In addition, the role will include defined practice‑development objectives aimed at driving revenue growth, along with broader client management responsibilities. Responsibilities Lead internal audit and consulting services related to the laws, regulations, and expectations associated with financial crimes compliance, consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending), and other general risk management activities such as model risk management and enterprise risk management programs. Manage and prioritize multiple client engagements while meeting agreed upon deadlines and ensuring frequent communication occurs with both internal and client stakeholders. Develop findings and recommendation reports and communicate the results with clients. Perform quality control reviews to ensure internal workpaper and deliverable standards are met. Supervise and develop team members in the areas of client engagement management and applied regulatory compliance knowledge. Assist in preparing and delivering proposals and engagement letters. Develop internal and external networks to further the business development goals of the practice. Participate in internal and external networking events, including client meetings, industry events, etc. Formal business development (prospecting to close) in a team-supported environment. Qualifications Bachelor’s degree required Minimum of 10 years of experience in working in the financial services industry. Prior experience in consulting or professional services is required. Well versed with financial crimes compliance or consumer protection laws and regulations (e.g., AML, TILA, RESPA, Regulation E, Fair Lending). CAMS, CRCM, CERP, or similar designations are highly preferred Must have the ability to follow work plans and understand banking vocabulary The ability to have scoping meetings with prospective clients and be able to develop proposals and engagement letters. Ability to engage in client expansion, contributing to fees sold; recognizes the importance of lead generation Self-starter; ability to work under minimal supervision Complete projects within budget while delivering high quality Balance client, practice development, and administrative demands Strong interpersonal and written communication skills required Promote positive working relationships with diverse personalities/roles at all levels in the firm Frequent travel throughout the region, with approximately 20% - 30% travel. This is an exempt position, so you may have to work hours that exceed the standard 40-hour work week. What makes us different? On the surface, we’re one of the nation’s largest audit, tax, consulting, and wealth management firms. But dig a little deeper, and you’ll see what makes us different: we’re a relatively jerk-free firm (hey, nobody ‘s perfect) with a world-class culture, consistent recognition as one of Fortune Magazine’s “100 Best Companies to Work For,” and an endless array of opportunities. At Plante Moran, diversity, equity and inclusion means that all staff members have equitable and fair opportunities to succeed, in an inclusive environment, with their individual, unique identities. So, what are you waiting for? Apply now. Plante Moran enjoys a “Workplace for Your Day” model which, simply put, means we strive for flexibility and balance while staying true to our principally in-person model. We believe that face-to-face interactions are paramount for individual and collective development, but also encourage individuals to work with their supervisor and team to determine their optimal working environment each day. Plante Moran is committed to a diverse workplace. We strive to create a culture where each person feels accepted and valued. We believe that each person’s ultimate potential begins with first acknowledging their inherent dignity. When we can recognize — and celebrate — our many human differences, we’re able to create a workplace where all staff feel a sense of belonging and an opportunity to succeed. This allows us to attract and retain the best talent, serve clients through diverse thinking, and better represent and support the various communities in which we live and work. Plante Moran is an Equal Opportunity Employer. Plante Moran maintains a drug-free workplace. Interested applicants must submit their resume for consideration using our applicant tracking system. Due to the high volume of interest in our positions, only candidates selected for interviews will be contacted. Candidates must be legally authorized to work in the United States without sponsorship, with the exception of qualified candidates who are bilingual in either Japanese and English or Chinese and English. Unsolicited resumes from search firms or employment agencies, or similar, will not be paid a fee and become the property of Plante Moran. The specific statements above are not intended to be all-inclusive. We are pleased to offer eligible staff a robust benefits package. Eligibility and contribution requirements for some of these benefits vary based on the number of hours staff work per week. Highlights include health, dental, vision, disability, and life insurance. In addition to this, eligible staff are able to take advantage of our Flexible Time Off and various pre-determined holidays, as well as a 401(k) plan, flexible benefits plans, business-related travel expense, lodging, and meal reimbursement for business-related use. A pension plan is also available for eligible administrative and paraprofessional staff. A discretionary bonus plan is available for eligible staff. Plante Moran also offers some contingent staff positions the option to elect health insurance in addition to limited paid sick time. The compensation range reflects the base salary we reasonably expect to pay for this position across our offices in the following regions: CO, IL, OH, and MA. Please review the position description for the applicable geographic location. Generally, experienced hires are not hired at or near the maximum salary range, as compensation decisions take into account a wide variety of factors, including but not limited to: responsibilities, education, experience, knowledge, skills, and geography. For early career roles, including campus hires, we offer standardized, market-based starting salaries among individuals within the same hiring group. This approach ensures fairness and reflects current industry benchmarks for entry-level talent. Under Colorado’s Job Application Fairness Act, you have the right to redact, from any documents that you submit in connection with your application, information that identifies your age, date of birth, or dates of attendance at or graduation from an educational institution. Should you wish to exercise your right to redact such information, please redact it prior to submitting documentation. The compensation range for this role in CO, IL, OH, and MA is: $175,000.00 - $225,000.00 #LI-CD1 #LI-Onsite This application window is a good-faith estimate of the time that this posting will remain open. This deadline will be promptly updated if the deadline is extended.