🚀 Regulatory Compliance - Senior Associate Financial Services

Regulatory Compliance - Senior Associate Financial Services

Join to apply for the Regulatory Compliance - Senior Associate Financial Services role at CLA (CliftonLarsonAllen) .

CLA is a top 10 national professional services firm where our purpose is to create opportunities every day, for our clients, our people, and our communities through industry‑focused wealth advisory, digital, audit, tax, consulting, and outsourcing services. Even with more than 8,500 people, 130 U.S. locations, and a global reach, we promise to know you and help you.

Our Perks

• Flexible PTO (designed to offer flexible time away for you!)
• Up to 12 weeks paid parental leave
• Paid Volunteer Time Off
• Mental health coverage
• Quarterly Wellness stipend
• Fertility benefits
• Complete list of benefits here

An exciting job opportunity is available in CLA's Financial Services Group on the Regulatory Compliance team. We are seeking a senior associate to in‑charge and complete fieldwork on various regulatory compliance outsourcing projects.

How You'll Create Opportunities In This Role

• Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives.
• Develop an understanding of the client's business activities, processes, and associated risks.
• Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members.
• Prepare compliance reports.
• Work with Managers, Directors, and clients to address compliance issues.
• Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self‑education.
• Provide ongoing technical assistance support to clients.
• Assist in the completion of other engagements/special projects or duties as assigned.
• Mentorship and training of staff.

What You Will Need

• Bachelor’s degree or equivalent work experience
• 3+ years of regulatory compliance experience
• CRCM, or other compliance certification, a plus
• Strong knowledge of the financial services industry, controls, and processes; prior financial services industry experience and/or regulatory experience a plus
• Strong understanding of regulatory compliance concepts
• Demonstrated track record of leading fieldwork for compliance testing
• Ability to lead and develop staff and complete assignments within required time constraints and deadlines
• Ability to travel

The Colorado posting wage range for this role is $71,800.00 - $128,219.00 USD.
The Minnesota posting wage range for this role is $71,800.00 - $123,470.00 USD.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
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Wellness at CLA

To support our CLA family members, we focus on their physical, financial, social, and emotional well‑being and offer comprehensive benefit options that include health, dental, vision, 401k and much more.
To view a complete list of benefits click here.