Risk Officer

What you’d do

Oversees risk, supervisory, and compliance functions for assigned branch locations, ensuring adherence to firm policies and federal, state, and local regulations. Reports to the Senior Risk Officer and escalates significant matters. Full time. Found on the employer's careers page on Oct 8, 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