Risk Officer
Core
Oversees supervisory, compliance, and risk functions for branch locations, ensuring adherence to regulations and firm policies.
Role type
Senior IC risk and compliance officer
Builds
Compliant operating environment and risk management procedures for wealth management branches
Domain
Financial services / Wealth Management / Regulatory Compliance
Required skills
Regulatory compliance knowledge, risk management, supervisory experience, audit preparation, client suitability assessment, data security monitoring, policy implementation, stakeholder liaison
Preferred skills
Leadership capabilities, problem prioritization, trend identification, workflow organization
Technologies
SEC, FINRA, Firm Compliance Policies
Responsibilities
Monitor and implement risk management procedures including data security, liaise with Legal and Compliance Division on complaints and litigation, support audit preparation and remediation, oversee branch supervisory coverage, manage people risk, and provide coaching on compliance policies
Seniority
Senior, hands-on IC