Risk Management Officer

A top Financial Services company is seeking a Risk Manager to join their growing team!

Responsibilities:

• Execute compliance testing and supervisory reviews aligned with SEC and Client requirements
• Track and support remediation efforts, ensuring timely implementation of corrective actions
• Assist in maintaining and updating compliance policies and procedures
• Partner with internal teams and auditors to support regulatory and compliance initiatives
• Draft and distribute compliance-related communications and guidance
• Support advisor onboarding and recruitment from a compliance perspective
• Contribute to ongoing process improvements and risk mitigation initiatives

Qualifications:

• Series 7 and Series 24 licenses
• 5+ years of experience in compliance, audit, risk management, or financial services
• Strong understanding of SEC and Client regulations
• Experience with risk-based testing and compliance program reviews
• Ability to manage multiple priorities in a fast-paced environment
• Strong written and verbal communication skills
• Detail-oriented, self-motivated, and collaborative mindset