Risk Management Lead, Compliance Oversight

3 weeks ago


New York, New York, United States Wedbush Securities Full time

Job Summary

We are seeking a seasoned professional to lead our Compliance Control Room in ensuring the integrity of our firm's information barriers and mitigating conflicts of interest.

This critical role can be based in Los Angeles or New York City, providing a hybrid work environment. Key responsibilities include:

  • Analyzing data to identify risk indicators and derive insights using business intelligence tools
  • Implementing information barrier policies and procedures by maintaining watch and restricted lists, deal lists, and handling conflicts clearance
  • Monitoring employee personal trading and electronic communications, performing periodic compliance testing and surveillance
  • Collaborating with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance-related issues
  • Drafting compliance-related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)

The ideal candidate will possess a strong understanding of protecting confidential and material non-public information and be proficient in Microsoft Office. They should also have experience working at a registered broker-dealer, investment manager, or US bank, with high levels of ethics, integrity, and judgment.

Benefits and Compensation

We offer a comprehensive compensation package, including medical, dental, and vision coverage, flexible spending accounts, 401(k) plan, tuition reimbursement, paid vacation, sick time, holidays, volunteer time off, and more.

A reasonable estimate of the current salary range for this role is $105,000-$120,000, based on the title, job requirements, and location. Colleagues may be eligible for additional discretionary incentive compensation based on performance.

We value diversity and inclusion in our workplace and are an equal employment opportunity employer.



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