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 flexibility for remote work
• Access to diverse networking opportunities and Business Resource Groups
• Strong focus on ethics and integrity within the workplace
• Comprehensive benefits package, including competitive salaries and bonus opportunities

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

• Series 7 and 24 licenses required at the 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 reside within 50 miles of the employer's Springfield, MA office for hybrid work requirements

• 5+ years of broker‑dealer or compliance experience
• Series 53 & 4 licenses
• Familiarity with Envestnet/MAS, BPM, Wealthscape, and/or FBSI systems
• Strong analytical skills with a focus on decision‑making and problem resolution
• Superior interpersonal and communication skills, with a collaborative approach

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.