Manager- Securities Compliance QA (Global Banking)

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Manager – Securities Compliance QA (Global Banking )

Role Overview

RSM is seeking a temporary Manager‑level Securities Compliance QA professional to support the Global Banking Practice . This role will operate in the second line of defense , providing independent oversight, testing, and challenge of Broker‑Dealer and RIA compliance programs for banking and wealth management clients.

Key Responsibilities

• Perform risk‑based compliance QA reviews across Broker‑Dealer and RIA environments.
• Independently assess first line policies, procedures, supervisory controls, and surveillance programs.
• Validate regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
• Support regulatory exams, issue validation, and remediation efforts.
• Identify control gaps, root causes, and emerging compliance risks impacting Global Banking clients.
• Partner with Compliance, Legal, Risk, and Business stakeholders to drive timely remediation.

Required Experience

• 5+ years of securities compliance, compliance testing, QA, or regulatory oversight experience.
• Experience operating in a second line of defense capacity.
• Strong knowledge of Broker‑Dealer and RIA regulatory requirements .
• Experience supporting large or complex banking / financial services organizations .
• Ability to work independently in a fast‑paced, client‑delivery environment.

Preferred

• Prior CCO, senior compliance, or regulatory remediation experience.
• Series 7, 24, 63, 65, 66 SIE (active or previously held).

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

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 [email protected].

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.