Securities Compliance Risk Manager

Job Summary

To support a growing compliance infrastructure, the full-time Senior Compliance Risk Manager will independently execute the securities compliance and supervision program, ensuring operational clarity and regulatory confidence while working remotely or from various U.S. locations.

Key responsibilities

• Design and document the annual compliance testing program for the broker-dealer and RIA in accordance with relevant regulations
• Act as a key contact during regulatory examinations and audits, managing data requests and ensuring accurate regulatory responses
• Collaborate with cross-functional teams to evaluate regulatory risk and compliance requirements for new product launches

Required qualifications

• 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA
• Active FINRA Series 7 and 24 licenses
• Familiarity with FINRA and SEC regulations, including Rule 3110 and Rule 206(4)-7
• Strong documentation and organizational skills for audit readiness
• Exceptional executive presence and communication skills for interaction with senior leadership and regulators