Securities Compliance Risk Manager

To support a growing compliance infrastructure, the full-time Senior Compliance Risk Manager will independently execute the securities compliance and supervision program, ensuring operational clarity and regulatory confidence while working remotely or from various U.S. locations. Key responsibilities Design and document the annual compliance testing program for the broker-dealer and RIA in accordance with relevant regulations Act as a key contact during regulatory examinations and audits, managing data requests and ensuring accurate regulatory responses Collaborate with cross-functional teams to evaluate regulatory risk and compliance requirements for new product launches Required qualifications 5+ years of experience in compliance, audit, or operations roles at a broker-dealer or RIA Active FINRA Series 7 and 24 licenses Familiarity with FINRA and SEC regulations, including Rule 3110 and Rule 206(4)-7 Strong documentation and organizational skills for audit readiness Exceptional executive presence and communication skills for interaction with senior leadership and regulators