Credit Risk and Compliance Supervisor

2 weeks ago


Newport Beach, California, United States The Patriot Group Full time
Position Overview:
We are seeking a meticulous Credit Risk and Compliance Supervisor to join our esteemed financial institution. This role is pivotal in evaluating the creditworthiness of potential clients and ensuring adherence to regulatory standards.

Working Hours:
Aligned with market hours, typically from 6 AM to 2 PM.

Compensation:
Annual salary ranging from $75,000 to $95,000, complemented by a discretionary annual bonus.

Company Background:
A distinguished minority-owned investment banking and brokerage firm, recognized for its commitment to excellence and growth opportunities.

Benefits:
- 401(k) Plan
- Medical Insurance
- Dental Coverage
- Vision Insurance
- Life Insurance
- Employee Assistance Program (EAP)

Key Responsibilities:
As a Credit Risk and Compliance Supervisor, your primary duties will include:
  • Evaluating the credit profiles of new and existing clients through comprehensive analysis of financial documents and credit histories.
  • Regularly monitoring customer credit accounts to identify potential risks and necessary adjustments to credit limits.
  • Formulating and executing credit risk management strategies and policies.
  • Identifying trends related to credit risk and providing actionable recommendations to mitigate these risks.

Compliance Duties:
In addition to credit responsibilities, you will also:
  • Conduct thorough trade surveillance to detect any potential regulatory violations or market misconduct.
  • Utilize advanced analytical tools to scrutinize trading activities for suspicious patterns.
  • Prepare and submit accurate reports in compliance with regulatory requirements.
  • Collaborate with third-party service providers to ensure the integrity of data reporting.

Qualifications:
  • 3-5 years of experience in credit analysis and compliance within the financial services sector.
  • Strong knowledge of securities regulations including SEC and FINRA requirements.
  • Proficient in Microsoft Office Suite, particularly Excel.
  • Bachelor's degree in finance, business administration, or a related discipline.

Preferred Qualifications:
  • Possession of FINRA licenses such as SIE, 7, and 63.
  • Familiarity with CAT and CAIS reporting.
  • Experience with financial analysis tools and platforms.
  • Advanced degrees or professional certifications are a plus.


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