Head of Risk Management & Audit
Social Capital Resources
A top Financial Services company is seeking a Risk Manager to join their growing team!
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
5+ years of experience in compliance, audit, risk management, or financial services
Experience with risk-based testing and compliance program reviews
Ability to manage multiple priorities in a fast-paced environment
Vacancy posted 3 days ago
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