Regulatory Compliance Principal
Core
Supervising engagements and providing leadership in compliance reviews, operational reviews, compliance management system assessments, policy review, and risk assessment/planning for financial services clients.
Role type
Principal regulatory compliance consultant (financial crimes & consumer protection)
Builds
Compliance reviews, risk assessments, and advisory reports for financial institutions
Domain
Financial services / Regulatory compliance
Deliverable
client delivery
Required skills
Financial crimes compliance expertise, consumer protection laws knowledge, client engagement management, team supervision, business development, proposal development, quality control
Preferred skills
CAMS, CRCM, CERP designations, banking vocabulary proficiency, formal business development experience
Technologies
None stated
Responsibilities
Lead internal audit and consulting services related to financial crimes compliance and consumer protection laws; Manage and prioritize multiple client engagements; Develop findings and recommendation reports; Perform quality control reviews; Supervise and develop team members; Assist in preparing proposals and engagement letters; Develop internal and external networks for business development
Seniority
Principal, hands-on IC with leadership and business development responsibilities