Leading the Quality & Risk team, the full-time remote FINRA Licensed Quality Manager will oversee compliance controls, manage risk oversight functions, and ensure quality assurance processes are effectively implemented within the Regulatory Enablement team. Key responsibilities Support the quality/audit function through sample reviews and metrics reporting Manage issue escalation processes and conduct root-cause analysis on findings Lead technology testing initiatives and oversee vendor compliance activities Required qualifications Bachelor's degree in business, finance, or a related field 5+ years of experience in compliance, risk management, or audit within financial services Prior experience managing or leading a team Strong understanding of FINRA rules and risk management frameworks FINRA Series 24 or Series 99 registration, or willingness to obtain within 6 months of hire
FINRA Licensed Quality Manager in workfromhome at Unknown Company
This position is listed as full time and able to be worked remotely.