A global leader in the wealth management space is looking to add a driven, detailed, and engaging Risk & Supervisory Officer to its compliance and financial services department. A major focus of the role will be on the implementation and education of new company initiatives related to compliance, business risk, and sales supervisory matters. In this role you will be offered exposure to working with a compliance and business team at a growing Fortune 500 company. The position creates a path for professional growth and developmental opportunities in the financial services industry. The opportunity will sit in a hybrid schedule in San Francisco.
Responsibilities include…
- Implement and educate on new company initiatives for compliance, business risk, and sales supervision
- Manage and develop the sales supervisory team with new trainings/tools, compliance updates, and operational best practices
- Review of various processes to ensure proper analysis has occurred and appropriate processes are in place
- Work in conjunction with the Compliance team on all related regulatory matters, which includes the communication of policies and procedures and any recommendations for improvement
- Partner and visit on-site with branch teams for Branch Review and Group Internal Audit processes, while generating action plans for those with low audit scores based on market trends
- Seek out any supervisory and emerging business issues and create resolutions or escalate appropriately
Qualifications include…
- 7+ years of experience as a business risk and/or supervisory officer, with prior leadership in a large-scale financial institution
- Currently hold Series 7, 8, and 66 licenses; insurance is a plus
- Ability to communicate directly with all levels of the organization
- Strong knowledge of finance (broker-dealer), compliance and technology market trends/changes in a global setting
Benefits include...
- Competitive salary and an excellent bonus package
- Full Benefits (medical/dental/vision/401k)
- Hybrid workplace setting (3 days on-site, 2 remote)
If interested in this opportunity, feel free to click the above link for immediate consideration!
