Risk Management Consultant

Employer Industry: Financial Services

• Salary up to $110,300
• Opportunity for career advancement and growth within the organization
• Hybrid work schedule with 3 days a week in the office for local candidates
• Access to learning content on various platforms and networking opportunities
• Supportive and inclusive work culture that values ethics and integrity
• Competitive compensation package with bonuses and incentives

• Perform trade surveillance and monitoring activities, documenting potential risks and violations
• Collaborate with departments and business partners to develop corrective action plans
• Regularly communicate surveillance or sales practice trends to management
• Work efficiently to meet or exceed firm benchmarks for productivity
• Partner with compliance and business partners on regulatory matters and escalations

• Series 7 and 24 required at time of application
• 3+ years' experience in the financial services industry
• 2+ years’ broker-dealer experience
• High School Diploma
• Candidates within 50 miles of the office must adhere to a hybrid work schedule

• 5+ years of broker-dealer or compliance experience
• Series 53 & 4 certifications
• Knowledge of trade review systems and related software
• Strong interpersonal and customer service skills
• Experience with continuous improvement initiatives

#Financial Services #Risk Management #Compliance #Career Opportunity #Hybrid Work

We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.

We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.