Risk Manager
Social Capital Resources
A top Financial Services company is seeking a Risk Manager to join their growing team! Responsibilities Execute compliance testing and supervisory reviews aligned with SEC and FINRA requirements Track and support remediation efforts, ensuring timely implementation of corrective actions Assist in maintaining and updating compliance policies and procedures Partner with internal teams and auditors to support regulatory and compliance initiatives Draft and distribute compliance-related communications and guidance Support advisor onboarding and recruitment from a compliance perspective Contribute to ongoing process improvements and risk mitigation initiatives Qualifications Series 7 and Series 24 licenses 5+ years of experience in compliance, audit, risk management, or financial services Strong understanding of SEC and FINRA regulations Experience with risk-based testing and compliance program reviews Ability to manage multiple priorities in a fast-paced environment Strong written and verbal communication skills Detail-oriented, self-motivated, and collaborative mindset #J-18808-Ljbffr Social Capital Resources
Vacancy posted 1 day ago
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