Auditing, Communication Skills, Corrective Action, Detail Oriented, Financial Risk Management, Financial Services, Internal Audit, Maintain Compliance, Multitasking, Onboarding, Presentation/Verbal Skills, Process Improvement, Regulations, Regulatory Compliance, Risk, Risk Management, Securities and Exchange Commission (SEC), Series 24, Series 7, Team Player, Time Management, Writing Skills
A top Financial Services company is seeking a Risk Manager to join their growing team!
Responsibilities:
- Execute compliance testing and supervisory reviews aligned with SEC and Client requirements
- Track and support remediation efforts, ensuring timely implementation of corrective actions
- Assist in maintaining and updating compliance policies and procedures
- Partner with internal teams and auditors to support regulatory and compliance initiatives
- Draft and distribute compliance-related communications and guidance
- Support advisor onboarding and recruitment from a compliance perspective
- Contribute to ongoing process improvements and risk mitigation initiatives
Qualifications:
- Series 7 and Series 24 licenses
- 5+ years of experience in compliance, audit, risk management, or financial services
- Strong understanding of SEC and Client regulations
- Experience with risk-based testing and compliance program reviews
- Ability to manage multiple priorities in a fast-paced environment
- Strong written and verbal communication skills
- Detail-oriented, self-motivated, and collaborative mindset
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Social Capital Resources LLC