Home Office Supervisory Officer

Why consider this job opportunity:

• Salary up to $120,000
• Opportunity for discretionary incentive compensation
• Collaborative work environment with a focus on risk management and business support
• Commitment to employee growth with flexible working options
• Inclusive culture that values diverse skills and experiences
• Chance to make a significant impact in operational risk control

• Act as a compliance and operational risk control subject‑matter expert for daily trade activity supervision
• Perform first‑line‑of‑defense activities concerning consequential risks
• Ensure effective design and operation of risk frameworks
• Deliver monthly reports on risk profiles related to daily trade reviews
• Provide business management with necessary controls, tools, and insights for risk management

• Bachelor's degree
• Minimum of 3 years of experience in the financial industry, specifically in risk management, risk control, audit, or compliance/supervision
• Required licenses: FINRA Series 7, 66, 9 & 10 (or equivalent)
• Strong analytical skills with the ability to propose practical risk minimization solutions
• Result‑oriented mindset with confidence in handling challenging situations

• Additional licenses such as FINRA Series 3 and Life Insurance and Variable Annuities
• Experience in a collaborative team environment within the financial sector

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