Central Review Unit Risk Officer / Products Team

Ability to thoroughly investigate and problem solve; to see an assignment through from conception to completion
Knowledge of SEC, Finra and firm compliance policies
Effective written and verbal communication skills
Ability to identify issues and trends to provide recommended comprehensive solutions
Ability to organize and prioritize work to meet strict deadlines
Ability to problem solve independently
Ability to handle large workloads without compromising the integrity of the supervision
Must be pro-active and own workload and day
Ability to evaluate and understand the full picture and risk implications of the supervision conducted
Flexible, must be able to manage a diverse, heavy, and ever-changing workload
Strong technology savvy strongly preferred, advanced experience and knowledge of excel and other data analytics tools

In depth analysis of a suite of controls that cover many areas of Risk, including but not limited to: Trade Supervision, appropriate use of Advisory Accounts, and Suitability Reviews
Being the contact point for Field Risk
Conduct monthly calls with the Field Branches you support
Providing reporting and trend analysis of what you are seeing in the risk reviews you conduct
Serving as an escalation point for issues and questions from the field
Providing coverage on an as-needed basis

5 -10 years of industry experience
Risk or compliance experience
Advanced understanding of Alternative Investments and other complex products a plus
Bachelor’s degree or equivalent work experience
Must have an active Series 7 & 66 (or 65 and 63)
9 and 10 (or 8) or the ability to obtain the 9 and 10 within 60 days of hire