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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Insurance Coverage
Litigation - Whistleblower - CFTC
Min 5 yrs required
Senior Field Risk Manager, The candidate will supervise/regulate health of assigned OSJs, and provide training, strategic leadership, and results management over diverse risk disciplines and functional areas that comply with all SRO, federal/State regulations and laws. Will create, coordinate and manage ongoing suitability/supervisory training and education for assigned OSJs. Capture and manage analysis of risk/operational data to optimize Field Risk process, field educational/training opportunities, and identify residual risk to the firm, field management, and Registered Reps. Interface with senior field leaders and provide risk-based consultation/influence on highly complex/sensitive communications, and strategic direction. Consistently implement supervisory processes, procedures and tools with Registered Reps and Field Management that integrates regulatory requirements into daily functions of the field. Serve as designated OSJ RP responsible for all supervisory/regulatory OSJ issues during senior field leader vacancies. Provide leadership and consultative support on key business projects and deliverables with a focus on strengthening company's trusted reputation, enhanced efficiencies, effectiveness of business operations, and supervisory/risk training. Collaborate with corporate Suitability/Surveillance teams, Compliance/Legal, and field leadership to assess the quality of each RR's overall sales practices and risks to the firm. Maintain extensive subject matter expertise in the areas of strategic, operational, financial and law/compliance risks and related governance. Assist with investigations, customer complaints and regulatory examinations. Serve as a liaison for regulators and auditors as applicable.
Qualification and Experience
The candidate should have a College degree or equivalent industry experienced. Advanced degree and/or professional credentials (CFP, MBA, J.D. degree) preferred. Series 7, 63/65 or 66 and 24 are required or obtained within 90 days of hire. Life and health insurance licenses preferred. Must have 5+ years of industry experience. Should have strong knowledge of securities/insurance products and investment advisory requirements. Conflict management skills are needed. Approximately 25% travel is required.
Req. ID: 4389BR
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