What are the responsibilities and job description for the Risk Manager position at Social Capital Resources?
A top Financial Services company is seeking a Risk Manager to join their growing team!
Responsibilities:
- Execute compliance testing and supervisory reviews aligned with SEC and FINRA requirements
- Track and support remediation efforts, ensuring timely implementation of corrective actions
- Assist in maintaining and updating compliance policies and procedures
- Partner with internal teams and auditors to support regulatory and compliance initiatives
- Draft and distribute compliance-related communications and guidance
- Support advisor onboarding and recruitment from a compliance perspective
- Contribute to ongoing process improvements and risk mitigation initiatives
Qualifications:
- Series 7 and Series 24 licenses
- 5 years of experience in compliance, audit, risk management, or financial services
- Strong understanding of SEC and FINRA regulations
- Experience with risk-based testing and compliance program reviews
- Ability to manage multiple priorities in a fast-paced environment
- Strong written and verbal communication skills
- Detail-oriented, self-motivated, and collaborative mindset
Salary : $90,000 - $100,000