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Regulatory Risk Manager

  • Location

    New York, Dallas, Cincinnati

  • Sector:

    Financial Services and Banking

  • Salary:

    Varies by location

  • Contact:

    Jerry Breitzman

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:

    ASAP, 2021


We are currently partnered with a leading asset management firm with offices throughout the East Coast and Midwest. This firm is well known for its industry-leading diversity and inclusion, benefits, and work culture. 

This individual would sit within their second line of defense risk team and would be a part of a firm-wide growth in their risk team. The Regulatory Risk manager will be assisting in the firm's enhancement of their risk infrastructure and would be entering a rare opportunity of joining a well-established firm in an entrepreneurial growth mode. 


  • Take part in the oversight of various functions that involve communication with regulators
  • Perform tests of the infrastructure to identify errors in the system
  • Review validation findings/reports to regulators
  • Discover, research, and action errors/areas of concerns discovered through testing
  • Assist in general areas that help protect the firm as well as its customers


  • Education
    • Bachelor's degree
  • Experience
    • 2-5 years of risk management, governance, compliance, or audit
    • Experience in brokerage roles, knowledge of various products/trade confirmation a plus
  • Certifications
    • Series 99, 24, or 7 a plus
  • Sponsorship
    • Case by case basis

If this role is of interest to you feel free to apply!