Risk Officer Job at Russell Tobin, New York, NY

Z2tySTE3LzNxMzU2VStuYmxFS2lIRHFUSXc9PQ==
  • Russell Tobin
  • New York, NY

Job Description

The Risk Officer is responsible for overseeing risk management, compliance, and supervisory functions within a branch of a Brokerage Wealth Management firm, ensuring adherence to regulatory policies, internal procedures, and ethical standards. Reporting to the Senior Risk Officer, this role involves monitoring risk controls, supporting audits, handling escalations, managing client suitability, and collaborating with legal, compliance, and HR teams. Candidates must have active FINRA licenses (Series 7, 8 or 9/10, 63, and 65 or 66), and strong leadership, communication, and analytical skills.

Job Tags

Similar Jobs

Step Up Consulting

Events Assistant Job at Step Up Consulting

 ...potential by providing comprehensive consulting services, strategic planning, and event management support. We value integrity, collaboration, and...  ...that is diverse and inclusive. Role Responsibilities: Assist in the planning and execution of charity events from... 

Fourth Floor

Store Manager Job at Fourth Floor

 ...Our client, a women's apparel brand, is seeking a Store Manager to join their team in Georgetown! You will be responsible for all aspects of managing the store by leading the sales and inventory team, overseeing store operations, ensuring customer satisfaction, and aligning... 

engenium

Training Specialist Job at engenium

 ...conducting training programs for military or government personnel. Adaptability: Willingness to operate in diverse environments from well-equipped training centers to remote or challenging field conditions. Instructional Skills: Ability to tailor training for... 

Noblis

Civilian Space Systems Division Director Job at Noblis

**Responsibilities**Noblis is seeking a **Civilian Space Systems Division Director** in one of any these four locations**Reston, VA; Washington DC; Greenbelt MD; OR Mountain View CA.**The Civilian Space Systems Division Director will be responsible for all aspects of... 

Schneider

CDL-A Company Driver - Grad Training - Dedicated - Dry Van - $1.02k - $1.25k per week - Schneider Job at Schneider

 ...CDL-A - Dedicated truck driver - Toro. Dedicated truck driver - Toro Average...  ...performance pay. ~$2,500 sign-on bonus paid over 12 monthly payments in your first year...  ...Permit (if interested in company-paid CDL training). Need CDL training? Explore our...