Advisory-Financial Services-RC Risk & Regulatory-Compliance Management in New York, New York | DiversityInc Careers
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Advisory-Financial Services-RC Risk & Regulatory-Compliance Management

PwC/LOS Overview
PwC is a network of firms committed to delivering quality in assurance, tax and advisory services.We help resolve complex issues for our clients and identify opportunities. Learn more about us at

At PwC, we develop leaders at all levels. The distinctive leadership framework we call the PwC Professional ( provides our people with a road map to grow their skills and build their careers. Our approach to ongoing development shapes employees into leaders, no matter the role or job title.

Are you ready to build a career in a rapidly changing world? Developing as a PwC Professional means that you will be ready- to create and capture opportunities to advance your career and fulfill your potential. To learn more, visit us at

PwC Advisory helps our clients with their most challenging imperatives from strategy through execution. We combine the breadth of knowledge of over 48,000 global professionals with deep industry knowledge to deliver custom solutions for our clients. We work with the world's largest and most complex companies and understand the unique business issues and opportunities our clients face.

Job Description
The Financial Services industry is operating in a challenging environment due to global economic pressure, increasing regulatory demands and capital requirements, and significant operational and technology changes. Our growing Financial Services Advisory team provides strategy, management, technology and risk consulting services to help major financial institutions around the world respond to their most complex business challenges. The Financial Services Advisory practice is composed of three industry sectors: Asset Management, Banking and Capital Markets, and Insurance.

Our Risk & Regulatory consultants help clients understand and address their enterprise risk and regulatory profile. This high performing team advises clients on the overall management and performance of their business, with a focus in compliance management, business continuity, risk and governance, and treasury management.

Position/Program Requirements
Minimum Year(s) of Experience: 7

Minimum Degree Required: Bachelor's degree

Degree Preferred: Advanced degree Juris Doctor and/or a Masters of Business Administration.

Certification(s) Preferred: Commissioned Bank Examiner from a State or Federal Regulatory Agency or Certified Regulatory Compliance Manager (CRCM) certification preferred.

Knowledge Preferred:

Demonstrates extensive knowledge and/or a proven record of success managing compliance-related consulting engagements within a top consulting or accounting firm, regulatory body (e.g. CFPB, OCC, Federal Reserve), or financial services firm including the following areas:

- Managing multiple, complex projects and direct medium to large staff teams;
- Working knowledge of banking laws and regulations including consumer compliance requirements (e.g. FCRA, TILA, HMDA, Fair Lending, UDAAP, etc.);
- Leveraging a working knowledge of regulatory requirements and industry leading practices relating to compliance risk management programs and processes;
- Demonstrating familiarity with operational processes and systems relating to consumer financial products and services (e.g. Cards, Mortgages, Deposits, etc.) and integration of compliance controls into the scope of existing business practices;
- Assessing, developing, and implementing sustainable compliance risk management structures andprocesses including governance and oversight structures, key compliance processes such as regulatory inventory, risk assessment, monitoring and testing, training, corrective action and reporting and supporting compliance technologies; and,
- Developing and executing regulatory compliance-related Internal Audit or second line of defense monitoring and testing programs.

Skills Preferred:

Demonstrates extensive abilities and/or a proven record of success leading client-facing consulting teams, including the following areas:

- Developing compliance risk management programs, including risk monitoring and reporting, risk assessment and prioritization, and facilitation of the definition of an organization's risk appetite and risk tolerance in alignment with their organization's strategy;
- Leveraging analytical ability and the ability to research, interpret, and evaluate laws, regulations, rules, standards and industry practices;
- Communicating with external clients and internal staff in an organized and knowledgeable manner;
- Leveraging project management and project facilitation skills, especially with leading and facilitating teams and developing client proposals;
- Identifying and addressing client needs;
- Building, maintaining, and utilizing networks of client relationships and community involvement;
- Communicating value propositions;
- Managing resource requirements, project workflow, budgets, billing and collections;
- Preparing and/or coordinating complex written and verbal materials; and,
- Providing constructive coaching and real-time feedback to team members.