The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices
Job Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices.
Key duties include surveillance and supervision, risk management, compliance, legal liaison, and administrative support for branch locations.
The role requires a Bachelor's degree or equivalent experience, industry experience, and active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.
Matching Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices.
Skills & Requirements
Must-have
Supervisory and compliance functions
Adherence to business ethics and practices
Data security risk management
Client suitability and risk management
SEC, FINRA and Firm Compliance Policies
Nice-to-have
Proactive client contact
Strong leadership capabilities
Ability to be discreet
Key Requirements
Bachelor’s degree or equivalent education or experience
Previous industry experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
Other licenses as required for role or by management