Quality & Risk Manager
New
F
FinalisInvestment Banking
USAFull-TimeManager
Salary90,000 - 120,000 USD per year
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Job Details
- Experience
- 5+ years
- Required Skills
- CybersecurityComplianceQuality AssuranceTeam managementRisk Management
Requirements
- Bachelor’s degree in business, finance, or a related field.
- 5+ years of experience in compliance, risk management, or audit within financial services or a broker-dealer environment.
- Prior experience managing or leading a team.
- Strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and quality-assurance practices.
- Experience with vendor oversight, technology risk, or cyber testing programs.
- Strong judgment, communication, and stakeholder-management skills.
- Must hold or be willing to obtain FINRA Series 24 or Series 99 registrations within 6 months of hire.
Responsibilities
- Support the firm’s quality/audit function end-to-end, including sample review of escalation results and metrics reporting.
- Oversee continuous monitoring programs to ensure supervisory controls are functioning as designed.
- Support Rule 3120 review activities and coordinate findings with the CCO.
- Represent Quality & Risk at the Risk Committee and own issue-escalation processes.
- Conduct root-cause analysis on escalation results and recommend remediation actions.
- Direct tech-testing initiatives and coordinate technology-related risk programs.
- Oversee vendor oversight and cyber testing efforts in coordination with information-security stakeholders.
- Lead and manage the Quality & Risk team, including workload distribution and staff development.
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