New York, Dallas, Cincinnati
Varies by location
4 months ago
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
- Bachelor's degree
- 2-5 years of risk management, governance, compliance, or audit
- Experience in brokerage roles, knowledge of various products/trade confirmation a plus
- Series 99, 24, or 7 a plus
- Case by case basis
If this role is of interest to you feel free to apply!