Risk Officer

5 days ago

Brooklyn, United States AscendHire Full time

Risk Officer

Broker-Dealer/Clearing

Series 7, 24 preferred

Dallas or Brooklyn Locations-Hybrid

$180-250 base + bonus/equity


Job Summary:

We are seeking a skilled and detail-oriented Risk Officer to join our team at a leading broker-dealer firm. The Risk Officer will play a pivotal role in identifying, assessing, mitigating, and monitoring risks associated with the firm’s operations, trading activities, and regulatory obligations. The ideal candidate will ensure the implementation of robust risk management practices, maintain compliance with industry regulations, and support strategic decision-making to safeguard the firm's reputation and financial health.

Key Responsibilities:

  1. Risk Management and Assessment:
  • Identify, assess, and prioritize operational, market, credit, and compliance risks associated with broker-dealer activities.
  • Develop and maintain risk management frameworks, policies, and procedures to address identified risks effectively.
  1. Regulatory Compliance:
  • Ensure adherence to SEC, FINRA, and other regulatory requirements, including regular filings and risk reporting.
  • Monitor changes in regulatory requirements and implement necessary adjustments to the firm’s processes.
  1. Risk Monitoring and Reporting:
  • Conduct ongoing monitoring of trading activities, client accounts, and counterparty exposures.
  • Generate regular risk reports for senior management and regulatory bodies, highlighting key risk metrics, trends, and potential issues.
  1. Incident Management:
  • Investigate risk events, near misses, and breaches to determine root causes and recommend corrective actions.
  • Maintain a risk event log and track the resolution of identified issues.
  1. Internal Controls and Audit:
  • Evaluate and enhance the effectiveness of internal controls and risk mitigation strategies.
  • Collaborate with internal and external audit teams during reviews and examinations.
  1. Training and Awareness:
  • Educate staff on risk management principles, policies, and regulatory compliance requirements.
  • Promote a culture of risk awareness throughout the organization.
  1. Strategic Risk Advisory:
  • Provide insights to leadership on emerging risks and recommend strategies to mitigate potential impacts.
  • Support new product or service initiatives by conducting risk assessments and advising on risk mitigation.

Qualifications:

  • Bachelor’s degree in Finance, Accounting, Risk Management, or a related field (Master’s degree preferred).
  • Minimum of 6+ years of experience in risk management, compliance, or a related role within a broker-dealer or financial services firm.
  • Strong knowledge of SEC and FINRA regulations, as well as other applicable regulatory frameworks.
  • Proficiency in risk management tools, systems, and reporting methodologies.
  • Exceptional analytical, problem-solving, and decision-making skills.
  • Excellent communication skills with the ability to present complex information clearly to various stakeholders.
  • Relevant certifications such as Series 7, Series 24, FRM, or CRMA are preferred.

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