Regulatory Advisory Manager - Broker Dealer 15c3-1/15c3-3

Company Profile:

At FORVIS, your career is designed with a purpose. We want our team members to thrive professionally and feel the impact their work yields when serving clients, industries, and local communities. This starts by empowering team members to design a career journey that leverages their skills and fuels their passions.

Creating a best-in-class employee experience is at the heart of our vision for the future. With several industry focus areas, multiple service lines, and locations in five geographical regions across the country to choose from, the opportunities for your career are without limit.

About FORVIS

FORVIS is a Top-10 professional services firm providing assurance, tax, and advisory services, driven by our commitment to using our forward vision to provide rewarding career opportunities and deliver unmatched client experiences. Learn more at FORVIS.com

Design your career with purpose at FORVIS. For more information about our firm locations, visit FORVIS.com. FORVIS, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, or other protected classifications.

It is FORVIS's standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

• FORVIS expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
• FORVIS further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with FORVIS.
• Any resume or CV submitted to any employee of FORVIS without having a FORVIS vendor agreement in place will be considered the property of FORVIS.

Requisition Number: 2233770

Position Title:

External Description: Description & Requirements

Ready to Accelerate Your Career? Join our rapidly expanding consulting team!

Our Financial Services Consulting practice brings our global footprint, clients, industry expertise, and innovative solutions together to help global companies exceed their strategic objectives and needs. We have a national and global footprint with a significant portfolio of financial services clients spanning banking, insurance, global markets, asset and wealth management, and payments.

Who Makes A Highly Successful Consultant?

We are looking for team members to join our global, inclusive community of enthusiastic financial services consultants. These diverse professionals should be exceptionally talented, driven, and forward-thinking. They are initiative-taking with curiosity and possess a passion for continuous learning along with a robust growth mindset that propels themselves and others forward.

Your New Career Challenge

You will have the opportunity to gain experience and work alongside a broad mix of exceptionally talented subject matter professionals and team members both at Forvis Mazars and at our clients. Forvis Mazars provides an environment to explore and experience emerging, and relevant topics based on your interests and alignment to your short and long-term career goals.

How you will contribute:

• Managing relationships with client-side stakeholders to facilitate project fulfillment.
• Serving as a key client contact by planning, coordinating, and executing cross-functional risk management project.
• Exercising independent thinking skills by making decisions related to Finance and Accounting Transformation, Regulatory change, and Data Management.
• Driving and supporting a book of business that provides excellent, relevant services to the market.
• Managing, developing, and mentoring direct reports with the goal of fostering their career development
• Managing all phases of the project life cycle, including the execution of deliverables, team communications, staffing requirements, job planning, and scheduling.
• Staying up to date on developments regarding the market, changes in regulation, modern technology, etc.
• Creating and developing Knowledge Share documentation on regulatory topics related to broker-dealers.
• Leading multiple project teams simultaneously to deliver on our guiding principle of Unmatched Client Experience.

We are looking for people who have Forward Vision and:

• Independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation.
• Highly Proficient verbal and written English communication skills; ability to communicate effectively.
• Professional demeanor toward duties and responsibilities, particularly regarding independence, professional ethics, and the exercise of professional judgment
• Must be dependable and able to meet deadlines.
• Strong organizational and verbal/written communication skills.

Minimum Qualifications:

• 5 years or more of experience in relevant roles within the Financial Services sector, focusing on GSIB, FBO, or Capital Markets.
• Bachelor's degree in Finance, Accounting, Economics, or related business field.
• Proficiency of SEA Rule 15c3-3 Customer Reserve and 15c3-1 Net Capital
• Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements.
• Proficiency in MS Office: Word, Excel, PowerPoint, and Outlook.

Preferred Qualifications:

• Master's Degree in a related field
• FINRA Series 27 designation
• Previous consulting experience
• Ability to travel
• Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-office systems.
• Experience in data automation software (i.e., VBA, Alteryx, Tableau, Python)
  

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New York City Pay Transparency

Pursuant to the pay transparency laws of New York State and other local ordinances within the state including (but not limited to) New York City, the salary range displayed is for the New York markets. The salary for this role will be based on the experience, education, and skill set of the individual for the position. Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, and parental leave. Forvis Mazars reserves the right to make changes to the salary range based on business needs.

New York Salary Range:

NY Minimum Salary (USD)

$ 92,100

NY Maximum Salary (USD)

$ 192,000

City: New York

State: New York

Community / Marketing Title: Regulatory Advisory Manager - Broker Dealer 15c3-1/15c3-3

Location_formattedLocationLong: New York, New York US

CountryEEOText_Description:

With a legacy spanning more than 100 years, Forvis Mazars is committed to providing a different perspective and an unmatched client experience that feels right, personal and natural. We respect and reflect the range of perspectives, knowledge and local understanding of our people and clients. We take the time to listen to deliver consistent audit and assurance, tax, advisory and consulting services worldwide.

We nurture a deep understanding of our clients’ industries, delivering greater insight, deeper specialization and tailored solutions through people who listen to understand, are responsive and consult with purpose to deliver value.

About Forvis Mazars, LLP

Forvis Mazars, LLP is an independent member of Forvis Mazars Global, a leading global professional services network. Ranked among the largest public accounting firms in the United States, the firm’s 7,000 dedicated team members provide an Unmatched Client Experience® through the delivery of assurance, tax, and consulting services for clients in all 50 states and internationally through the global network. Visit forvismazars.us to learn more.

Forvis Mazars, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, gender identity, or other protected classifications.
It is Forvis Mazars, LLP standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

Forvis Mazars, LLP expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
Forvis Mazars, LLP further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with Forvis Mazars, LLP.Any resume or CV submitted to any employee of Forvis Mazars, LLP without having a Forvis Mazars, LLP vendor agreement in place will be considered the property of Forvis Mazars, LLP.