Insurance/Securities Regulatory Compliance Seniors needed for Global Consulting firm Our client's Risk Services practice is a global leader in helping clients manage risk from the boardroom to the network.

As the largest risk management consulting practice of its kind, we offer a comprehensive array of services designed to help our clients understand business risks, determine acceptable levels of exposure, implement controls, and provide ongoing measurement and monitoring of the risk environment and compliance.

Sr. Consultant Level: We are currently seeking Senior Consultants with financial accounting and regulatory reporting experience in our client's Tri-State offices to sell and deliver value added insurance or securities regulatory services.

We seek a specialized combination of skills including insurance/and/or securities accounting, auditing, sales practice, and regulatory and financial reporting experience.

We also seek candidates who have experience with technology and reengineering efforts, including configuring and implementing regulatory reporting and compliance infrastructure.

Candidates should posses the following attributes: An entrepreneurial spirit Project management skills Good communication skills Strong technology skills Creativity/problem solving ability Good at dealing with ambiguity Service areas include: Responding to regulatory inquiries and enforcement actions Mock regulatory examinations/reviews - Regulatory capability assessments Assessment/integration/strategic advice of regulatory compliance, reporting & licensing processes Compliance Assistance/Assessments Identify/ assist with the regulatory impact of changes to systems, controls, operations, finance or in reaction to new regulations Identify/assist with correcting regulatory deficiencies and implement solutions Assist management with the preparation of regulatory applications and related processes and to serve as a regulatory liaison Defining Books and Records Requirement

1. Chart of accounts redesig

2. General ledger reconciliations to back and middle office source documentatio

3. Regulatory requirements and record retention considerations Performing Financial Process Review

4. Analysis of closing processe

5. Improving regulatory and financial analysis - through automation, standardization with a focus on business drivers to provide more meaningful analysi

6. Analysis of procedures used to validate account balances - assign accountabilit

7. Streamlining regulatory reporting procedure

8. Automating RAP to GAAP reconciliation processes Performing Compliance and Supervisory Process Review

9. Analysis of procedures used to validate account balances - assign accountabilit

10. Streamlining regulatory reporting procedure

11. Exception processing and tools utilize

12. Sales practice assessment

13. Mutual fund and variable product sales practice assessmen

14. Anti-money Laundering assessments Qualifications: BA/BS, Accounting/Finance Majors desired 3+ years of experience in one or more of the following

1. Insurance or Securities Industry Experience i) Compliance or Regulatory position at a top-tier insurance or securities institution with the following: - Management experience or exposure with Regulatory and Compliance Risk - Interacting with Senior Management and the Board of Director

2. Regulatory Experience (Not in order of need/preference) i) SEC ii) NASD iii) NYSE iv) CFT

3. Consulting Experienc

4. Complementary Compliance Experience: i) Sales Practice and Compliance ii) Financial Responsibility ( 15c3-1 ) iii) Customer Protection Rules ( 15c3-3 ) iv) Possession or Control ( 15c3-3 ) v) Anti-Money Laundering vi) Operational Risk Management please email all resumes to recruiter3 [at] mindstaff [dot] com for prompt consideration

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