Risk & Controls Specialist

Job Summary

To support risk management and regulatory compliance efforts, the full-time Risk & Controls Specialist will oversee risk management activities, governance processes, and collaborate with senior leadership while working in a hybrid environment based in Houston, TX.

Key responsibilities:

• Develop, implement, and oversee risk management strategies to mitigate operational, regulatory, and reputational risk
• Lead governance activities for the development and maintenance of procedures and control frameworks
• Ensure compliance with FINRA, SEC, and other regulatory requirements, and assist with internal audits and regulatory examinations

Required qualifications:

• Bachelor's degree preferred
• Minimum 5 years of experience in brokerage, financial services, compliance, or risk management
• Series 7 license preferred
• Experience managing regulatory examinations, internal audits, or compliance reviews
• Demonstrated ability to develop and manage policies, procedures, and control frameworks