Temporary Audit Senior Associate – Volcker Rule Compliance (Global Banks)

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You’ll find an environment that inspires and empowers you to thrive both personally and professionally. There’s no one like you and that’s why there’s nowhere like RSM.

Temporary Senior Associate – Volcker Rules Compliance (Internal Audit)

Location: On-site (3–4 days/week) – New York, NY or Charlotte, NC

Overview:
RSM is seeking Senior Associates to support a global bank’s Internal Audit (3rd Line of Defense) function focusing on Volcker Rule compliance. This role is ideal for professionals with a foundation in internal audit, risk and controls, and regulatory compliance within trading environments. Candidates must have a minimum of 3 years of relevant experience, prior experience in a large, global banking institution.

Key Responsibilities:

• Support and execute audit reviews focused on Volcker Rule compliance.

• Perform control testing and evaluate the design and operating effectiveness of key controls related to trading desks and surveillance functions.

• Conduct detailed documentation reviews and testing of trade surveillance activities.

• Identify, analyze, and document findings related to potential compliance or control issues.

• Collaborate with internal audit team members and coordinate with first and second line stakeholders during audits and remediation validation.

• Develop a strong understanding of Volcker Rule requirements and their application across capital markets functions.

Qualifications:

• Minimum of 3 years of experience in internal audit, compliance testing, risk and controls, or trade surveillance within financial services.

• Foundational understanding of the Three Lines of Defense (3LOD) model, especially 3rd Line/Internal Audit.

• Familiarity with Volcker Rule requirements and their practical application in trading or capital markets settings.

• Prior experience working in a large, global banking institution is required.

• Strong analytical and communication skills with attention to detail and the ability to work in a fast-paced, structured environment.

Preferred Backgrounds:

• Internal auditor supporting capital markets or Volcker-focused audits

• Compliance tester with regulatory and surveillance control experience

• Associate with risk/control experience supporting trading or markets audits

At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.

All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at [email protected].

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM’s background check process, including information about job duties that necessitate the use of one or more types of background checks, click here.

At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.