Temporary Supervisor – Regulatory Compliance (Financial Services)

Overview

RSM is seeking an experienced Temporary Supervisor - Regulatory Compliance to support regulatory compliance, risk management, and assurance engagements for financial services clients. This role is ideal for a compliance professional with experience leading second-line and/or third-line reviews, compliance testing programs, regulatory remediation initiatives, and consumer compliance assessments within banking and financial services environments.

The Supervisor will lead project execution, oversee testing activities, manage client relationships, and provide guidance to team members while delivering high-quality regulatory compliance solutions. The role focuses on regulatory compliance programs, compliance management systems (CMS), risk assessments, monitoring and testing activities, and regulatory remediation efforts.

Required Qualifications

• 6+ years of experience in regulatory compliance, risk management, internal audit, or consulting within the financial services industry.
• Demonstrated experience leading or supervising second-line and/or third-line regulatory compliance engagements.
• Subject matter expertise in consumer compliance regulations impacting banks, credit unions, broker-dealers, or other financial institutions.
• Experience executing compliance reviews, monitoring and testing programs, risk assessments, audits, and regulatory examinations.
• Strong knowledge of regulatory expectations and requirements from agencies such as:
  • Consumer Financial Protection Bureau (CFPB)
  • Office of the Comptroller of the Currency (OCC)
  • Federal Deposit Insurance Corporation (FDIC)
  • Federal Reserve Board (FRB)
  • State regulatory agencies
• Experience developing findings, remediation recommendations, and executive-level reporting.

Key Responsibilities

• Lead and supervise regulatory compliance engagements for financial services clients.
• Execute and review compliance testing, monitoring activities, risk assessments, and independent reviews.
• Evaluate compliance management systems (CMS), governance frameworks, policies, procedures, and internal controls.
• Assess compliance risks related to consumer protection regulations and identify control gaps.
• Develop clear, actionable findings and recommendations for client management.
• Manage project timelines, deliverables, budgets, and client communications.
• Mentor junior team members and review workpapers, testing documentation, and reports.
• Support regulatory remediation efforts, compliance program enhancements, and ongoing monitoring initiatives.
• Assist clients with regulatory examination readiness and response activities.

Preferred Qualifications

• Experience within a consulting firm, Big Four firm, regulatory agency, or large financial institution.
• Experience supporting regulatory examinations, consent orders, or remediation programs.
• Professional certifications such as:
  • CRCM
  • CIA
  • CISA
  • CAMS
  • Similar compliance or risk-related certifications
• Excellent written and verbal communication skills with the ability to present to senior leadership and stakeholders.
• Experience reviewing compliance management systems, risk assessments, or regulatory testing programs.