FINRA Licensed Quality & Risk Manager
virtual vocationsDenver, CO
FINRA Licensed Quality & Risk Manager
L7
virtual vocationsDenver, COtoday
Industries
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment ActivitiesTo 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
Apply now (opens in a new tab)
Level
ManagerL7
Location
Denver, CO
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
today
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