Risk Management Consultant

Employer Industry: Financial Services

• Salary up to $110,300
• Opportunity for career advancement and growth within a stable and ethical organization
• Flexible hybrid work schedule for candidates residing within 50 miles of the office
• Access to learning content and networking opportunities with diverse business resource groups
• Supportive and collaborative work environment with a focus on ethics and integrity
• Competitive salaries along with incentive and bonus opportunities

• Perform trade surveillance and monitoring activities, documenting and identifying potential risks or violations
• Collaborate with field management and business partners to develop corrective action plans
• Regularly monitor and communicate surveillance or sales practice trends to senior management
• Partner with Compliance and business partners on regulatory matters and surveillance escalations
• Conduct ad hoc projects and reviews as required by management

• Series 7 and 24 required at time of application
• Minimum of 3 years' experience in the financial services industry
• At least 2 years of broker dealer experience
• High School Diploma
• Candidates must be able to work a hybrid schedule of 3 days a week if residing within 50 miles of the office

• 5+ years of broker dealer or compliance experience
• Series 53 & 4 certifications
• Knowledge of trade review systems and analytical competency
• Strong skills in Microsoft Office, including Outlook, Excel, PowerPoint, and Word
• Experience as a change agent with a focus on continuous improvement

#Financial Services #Risk Management #Career Opportunity #Competitive Pay #Hybrid Work

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