Risk Officer

What you’d do

Oversee risk, supervisory, and compliance functions for a wealth management branch, ensuring adherence to firm policies and federal, state, and local regulations. Full time, with dual reporting to the Complex Manager and Senior Risk Officer. Found on the employer's careers page on Oct 14, 2026. Apply through the link.

You’ll need

• Bachelor's degree or equivalent education or experience
• Previous industry experience
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
• Knowledge of SEC, FINRA and Firm Compliance Policies
• Effective written and verbal communication skills