CLA (CliftonLarsonAllen) · 12 hours ago
Regulatory Compliance - Senior Associate Financial Services
Milwaukee, WI
Full-time
Hybrid
Mid, Senior Level
$72K/yr - $129K/yr
3+ years expCLA (CliftonLarsonAllen) is a top 10 national professional services firm dedicated to creating opportunities for clients and communities. They are seeking a Senior Associate to lead fieldwork on various regulatory compliance outsourcing projects, ensuring compliance objectives are met and providing technical support to clients.
AccountingConsultingOutsourcing
Responsibilities
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
Qualification
Required
Bachelor's degree or equivalent work experience
3+ years of regulatory compliance experience
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
Preferred
CRCM, or other compliance certification, a plus
Benefits
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
Health, dental, vision, 401k and much more
Company
CLA (CliftonLarsonAllen)
CLA exists to create opportunities for our clients, our people, and our communities through industry-focused wealth advisory, outsourcing, audit, tax, and consulting services.
5001-10000 employees
H1B Sponsorship
CLA (CliftonLarsonAllen) has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
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Trends of Total Sponsorships
2025 (3)
2024 (2)
2023 (2)
2022 (3)
2021 (2)
2020 (2)
Funding
Current Stage
Late StageLeadership Team
Ray Price
Chief Financial Officer
T
Todd A. Steiner
Outsourcing CFO
Recent News
Morningstar.com
2025-11-04
Seattle TechFlash
2025-07-28
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2025-07-01
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