FINRA Licensed Quality & Risk Manager
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Job Summary
To lead the quality-assurance and risk-oversight functions, the remote FINRA Licensed Quality & Risk Manager will manage compliance controls, oversee vendor and technology programs, and ensure the effectiveness of the firm's risk management processes in a full-time capacity.
Key responsibilities
- Support the firm's quality and audit functions, including continuous monitoring and metrics reporting
- Own issue-escalation processes and conduct root-cause analysis to recommend remediation actions
- Lead and develop the Quality & Risk team, setting performance goals and fostering a culture of accountability
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 or a broker-dealer environment
- Prior experience managing or leading a team
- Strong understanding of FINRA rules, risk management frameworks, and quality-assurance practices
- Willingness to obtain FINRA Series 24 or Series 99 registration within 6 months of hire
Complete Job Description
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