Risk Management Consultant

Employer Industry

Financial Services

• Salary up to $110,300
• Opportunity for career advancement and growth within the organization
• Hybrid work schedule available for local candidates, combining remote and in-office work
• Access to various networking opportunities with diverse Business Resource Groups
• Comprehensive benefits package that includes competitive salaries and bonus opportunities
• Supportive and collaborative work environment focused on ethics and integrity

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

• 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 or equivalent
• Candidates within 50 miles of the employer's Springfield, MA office must work a hybrid schedule

• 5+ years of broker‑dealer or compliance experience
• Series 53 and 4 licenses
• Familiarity with systems such as Envestnet/MAS, BPM, Wealthscape, or FBSI
• Strong analytical skills and decision‑making capacity
• Excellent interpersonal skills and a team‑oriented approach

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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.