Senior Manager, Forensics and Compliance

At Stout, we’re dedicated to exceeding expectations in all we do – we call it Relentless Excellence ®. Both our client service and culture are second to none, stemming from our firmwide embrace of our core values: Positive and Team-Oriented, Accountable, Committed, Relationship-Focused, Super-Responsive, and being Great communicators. Sound like a place you can grow and succeed? Read on to learn more about an exciting opportunity to join our team.

This role sits at the intersection of Forensics, Compliance, and Financial Services Advisory, leading complex investigations, regulatory engagements, and dispute-related consulting work. You will drive integrity across client engagements and internal initiatives while leveraging deep securities industry expertise to support litigation, compliance assessments, and risk mitigation strategies.

Impact You’ll Make

• Serve as a trusted advisor to senior leadership and clients on complex risk, compliance, and dispute-related matters.

• Assist in high-profile dispute resolution and compliance initiatives, promoting integrity, accountability, and defensible outcomes across engagements.

• Strengthen client and organizational risk posture by identifying, investigating, and mitigating fraud, misconduct, and regulatory exposure.

• Help shape and enhance compliance frameworks align with evolving regulatory requirements, industry standards, and securities market practices.

• Drive business growth by leveraging industry relationships and identifying new client opportunities within the financial services sector.

• Build and mentor high-performing teams, fostering a culture of excellence, collaboration, and continuous improvement.

What You’ll Do

• Support senior management in  complex dispute resolution  engagements, involving financial services matters in which operational, regulatory, and compliance requirements are at issue.

• Oversee consulting projects involving the development or enhancement of client policies, procedures, and controls to ensure regulatory compliance and mitigate risk.

• Lead project teams and oversee client investigative engagements   involving enterprise and client risk assessments, identifying vulnerabilities and recommending practical mitigation strategies.

• Monitor regulatory developments (e.g., SEC, FINRA, AML/KYC, FCPA, SOX) and emerging risks, advising on industry trends and compliance expectations.

• Assist senior management and subject matter experts in preparing clear, concise, and defensible reports for  legal proceedings.

• Lead business development efforts, including: Developing pitch materials and proposals Attending industry conferences and building client relationships and drafting thought leadership content

• Oversee project management across engagements, including: Work planning, team building, document organization, report drafting, work product quality control, and budget tracking.

• Assist in creating and reviewing project materials and work product, including financial analysis, corresponding charts, graphs, and demonstratives.

• Utilize industry tools and technologies (e.g., Power Point, Bloomberg, LexisNexis, CapIQ, Salesforce, Relativity) to support analysis and reporting.

What You Bring

• Bachelor’s degree in Accounting, Finance, Business, or a related field (advanced degree preferred).

• Professional certifications such as , CFE, CAMS, or prior securities licenses  (Series 7, 63, 24) strongly preferred.

• 5-10 years of experience in financial services consulting.

• Deep knowledge of securities industry regulations, trading practices, and/or brokerage operations.

• Experience with regulatory frameworks such as SEC, FINRA, SOX, FCPA, and AML/KYC.

• Proven ability to lead teams  and deliver high-quality, defensible work product.

• Strong analytical, problem-solving, and decision-making skills.

• Excellent written and verbal communication skills, including formal report writing and presentation delivery.

• Demonstrated business development capabilities and client relationship management experience.

• Strong organizational skills, attention to detail, with the ability to manage multiple projects under tight deadlines.

• Experience mentoring and developing teams, with a collaborative leadership style.

• High level of integrity and ability to handle sensitive, confidential matters with sound judgment.

How You’ll Thrive

• Lead with integrity and sound judgment in high-stakes, sensitive, and often ambiguous situations.

• Navigate evolving regulatory landscapes with a proactive, solutions-oriented mindset.

• Build strong internal and client relationships, fostering trust and collaboration.

• Balance strategic leadership with hands-on execution across multiple engagements.

• Develop and mentor team members while reinforcing a high-performance culture.

• Embody Stout’s core values: Positive and Team-Oriented, Accountable, Committed, Relationship-Focused, Super-Responsive, and Great Communicators.

• Deliver Relentless Excellence® in client service, risk management, and investigative outcomes.

Why Stout?
At Stout, we offer a comprehensive Total Rewards program with competitive compensation, benefits, and wellness options tailored to support employees at every stage of life.
We foster a culture of inclusion and respect, embracing diverse perspectives and experiences to drive innovation and success. Our leadership is committed to inclusion and belonging across the organization and in the communities we serve.
We invest in professional growth through ongoing training, mentorship, employee resource groups, and clear performance feedback, ensuring our employees are supported in achieving their career goals.
Stout provides flexible work schedules and a discretionary time off policy to promote work-life balance and help employees lead fulfilling lives.
Learn more about our benefits and commitment to your success.

https://www.stout.com/en/careers/benefits

The specific statements shown in each section of this description are not intended to be all-inclusive. They represent typical elements and criteria necessary to successfully perform the job.

Stout is an Equal Employment Opportunity. All qualified applicants will receive consideration for employment on the basis of valid job requirements, qualifications and merit without regard to race, color, religion, sex, national origin, disability, age, protected veteran status or any other characteristic protected by applicable local, state or federal law. 

Stout is required by applicable state and local laws to include a reasonable estimate of the compensation range for this role. The range for this role considers several factors including but not limited to prior work and industry experience, education level, and unique skills. The disclosed range estimate has not been adjusted for any applicable geographic differential associated with the location at which the position may be filled. It is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case.

A reasonable estimate of the current range is $120,000.00 - $215,000.00 Annual. This role is also anticipated to be eligible to participate in an annual bonus plan. Information about benefits can be found here - https://www.stout.com/en/careers/benefits.