Quality & Risk Manager

This is a fully remote position, open to applicants in United States.

📋 Description

• Provide comprehensive support for the firm’s quality and audit function, including reviewing samples of escalation results and generating metrics reports.

• Manage ongoing monitoring programs to ensure that supervisory controls operate as intended.

• Assist with Rule 3120 review processes and collaborate with the Chief Compliance Officer on findings.

• Support Risk Management initiatives and represent the Quality & Risk team at the Risk Committee.

• Lead issue escalation processes and ensure timely resolutions across various teams.

• Perform root-cause analyses on escalation results and suggest appropriate remediation actions.

• Direct initiatives related to technology testing and manage technology-related risk programs.

• Supervise vendor oversight activities to ensure third-party providers comply with established standards.

• Oversee cyber testing in collaboration with information security stakeholders.

• Stay informed about new threats and provide recommendations for cybersecurity enhancements.

• Lead and manage the Quality & Risk team, including distributing workloads, conducting quality reviews, and fostering staff development.

• Establish performance goals, offer coaching, and promote team accountability.

• Report directly to the Chief Compliance Officer.

⛳️ Requirements

• Bachelor’s degree in business, finance, or a related discipline.

• A minimum of 5 years of experience in compliance, risk management, or audit within the financial services or broker-dealer sector.

• Previous experience in managing or leading a team.

• Strong knowledge of FINRA regulations, particularly Rule 3120.

• Familiarity with risk management frameworks and quality assurance methodologies.

• Experience in vendor oversight, technology risk management, or cyber testing initiatives.

• Possession of a FINRA Series 24 or Series 99 registration, or a willingness to obtain these registrations within six months of hire.

• Experience with technical scopes such as E2E Audit, Quality Assurance, Risk Management, Technology Testing Initiatives, Escalation Results, or Metrics Reporting.

🏝️ Benefits

• 100% Remote work.

• Generous Paid Time Off.

• Comprehensive Benefits Package.

• Paid Family Leave.

• A diverse and inclusive workplace culture.