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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