Risk Officer
RG&T Solutions · Beverly Hills, CA · Yesterday
FinanceFull-time
About the role
The Risk Officer is responsible for supervising compliance and risk management functions within a branch, ensuring adherence to laws, regulations, and company policies.
Responsibilities
- Oversee risk, compliance, and supervision activities
- Facilitate inquiries and promote risk awareness
- Ensure proper approval procedures
- Monitor risk, data security, and client suitability
- Liaise with Legal and Compliance teams
- Support audits
- Manage client and employee risk issues
- Collaborate with HR on investigations
- Train staff on compliance policies
- Onboard financial advisors
Qualifications
- Bachelor's degree
- Relevant industry experience
- Active licenses: Series 7, 8, 63, 65/66
- Knowledge of SEC, FINRA, and firm policies
Skills
- Strong communication
- Attention to detail
- Problem-solving
- Leadership
- Discretion
- Ability to interact effectively with advisors and clients
Reports to the Senior Risk Officer.