Risk Officer

Job summary
Risk OfficerResponsible for supervisory, compliance, and risk functionsEnsures adherence to laws, policies, and regulations
Job seniority: mid-to-senior level
Responsibilities
• Primary responsibility for risk, supervisory, and compliance functions• Facilitates inquiries and escalations• Focuses on business ethics and compliance practices• Ensures proper approval procedures• Monitors and manages all facets of risk• Facilitates communication of policies and regulations• Oversees branch supervisory responsibilities• Prepares for and responds to audits• Monitors people risk and takes appropriate action• Determines suitability and manages risk through client contact
Requirements
• Bachelor's degree or equivalent• Previous industry experience• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)• Knowledge of SEC, FINRA, and Firm Compliance Policies and Procedures• Strong written and verbal communication skills• Attention to detail• Ability to prioritize and resolve complex problems• Leadership capabilities or previous supervisory experience• Organizational and time management skills• Ability to interact with Financial Advisors and clients
Key Skills Needed
• Knowledge of SEC, FINRA, and Firm Compliance Policies and Procedures• Effective written and verbal communication skills• Attention to detail• Strong leadership capabilities or previous supervisory experience• Organizational and time management skills• Ability to interact with Financial Advisors and clients