Risk Management Consultant

Employer Industry: Financial Services

• Salary up to $110,300
• Incentive and bonus opportunities available
• Opportunity for career advancement and growth within a stable and ethical organization
• Access to networking opportunities with diverse Business Resource Groups
• Collaborative and inclusive work environment that values ethics and integrity
• Hybrid work schedule for candidates residing within 50 miles of the office

• Perform trade surveillance and monitoring activities to identify potential risks or violations of policies
• Collaborate with departments and business partners to develop corrective action plans
• Monitor and communicate surveillance or sales practice trends to management
• Partner with Compliance and business partners on regulatory matters and escalations
• Conduct ad hoc projects and reviews as requested by management

• Series 7 and 24 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 office and work a hybrid schedule

• 5+ years of broker-dealer or compliance experience
• Series 53 & 4 certifications
• Knowledge of trade review systems and strong analytical skills
• Excellent customer service and communication skills
• Experience in change management and continuous improvement

#Financial Services #Risk Management #Career Opportunity #Hybrid Work #Diversity And Inclusion

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