Job Summary
An RIA custodian and financial broker-dealer needs applicants for an opening for a Remote Risk Management Business Solutions Vice President.
Must be able to:
- Promote a strong risk management culture throughout the Business Solutions program
- Review and streamline existing quality control program and policies and procedures
- Identify and escalate risk and control issues to CLR and Business Leaders with transparency
Position Requirements Include:
- 10+ years of experience in the financial services industry
- Bachelor's Degree in business or related field required
- Risk management experience required
- 8+ years of management experience leading a risk management or compliance team
- Working knowledge of SEC regulatory requirements
- Series 7 and Series 24 Registrations
