Superivision / Risk Officer Job at Ascendo Resources, Miami, FL

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  • Ascendo Resources
  • Miami, FL

Job Description

Seeking a Risk and Supervision Officer who will be responsible for our client. This role is responsible for overseeing risk, compliance, and supervisory functions in the office.

Your Responsibilities:

  • Supervise and manage risk and compliance functions for the branch.
  • Ensure adherence to policies, procedures, and regulatory standards (SEC, FINRA).
  • Facilitate escalations, inquiries, and audits, ensuring timely responses and remediation.
  • Provide coaching and guidance on risk awareness and compliance.
  • Liaise with Legal and Compliance on client issues and litigation.
  • Monitor risk related to clients and Financial Advisors (FAs).
  • Assist with training, onboarding, and HR-related risk issues.

Qualifications:

  • Bachelor’s degree or equivalent experience.
  • 3+ years of industry experience in a Supervisory Function with active Series 7, 8 (or 9/10), 63, and 65 (or 66).
  • Strong knowledge of SEC, FINRA, and compliance policies.
  • Proven leadership or supervisory experience.
  • Strong attention to detail and ability to prioritize tasks.
  • Excellent judgment and discretion in handling sensitive matters.
  • Ability to interact with Financial Advisors and clients effectively.

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