FINRA Licensed Quality Manager
Job Summary
Leading the Quality & Risk team, the full-time remote FINRA Licensed Quality Manager will oversee compliance controls, manage risk oversight functions, and ensure quality assurance processes are effectively implemented within the Regulatory Enablement team.
Key responsibilities
- Support the quality/audit function through sample reviews and metrics reporting
- Manage issue escalation processes and conduct root-cause analysis on findings
- Lead technology testing initiatives and oversee vendor compliance activities
Required qualifications
- Bachelor's degree in business, finance, or a related field
- 5+ years of experience in compliance, risk management, or audit within financial services
- Prior experience managing or leading a team
- Strong understanding of FINRA rules and risk management frameworks
- FINRA Series 24 or Series 99 registration, or willingness to obtain within 6 months of hire
Complete Job Description
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