Job Overview – Supervisory Risk Manager (Financial Services):
Compensation: $120,000 – $135,000/year
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Lead compliance oversight and sales supervision as a Supervisory Risk Manager with our client in New York, NY. Oversee branch audits, business risk controls, and escalations across multiple offices while partnering with Compliance to ensure regulatory adherence. Best suited for professionals with broker-dealer supervisory experience and active FINRA licenses.
Responsibilities as the Supervisory Risk Manager:
- Sales Oversight & Risk Mitigation: Drive supervisory initiatives to ensure sales practices align with business risk and compliance standards.
- Audit & Branch Support: Assist with internal audits and branch reviews, including follow-ups and action plans for noncompliant branches.
- Compliance Collaboration: Partner with Compliance to refine policies, support rollouts, and ensure regulatory communications are understood firmwide.
- Process Oversight: Manage day-to-day supervisory reviews, track key metrics, and oversee escalation procedures.
- Issue Resolution & Training: Serve as the escalation point for complex issues and provide training on compliance best practices.
Qualifications for the Supervisory Risk Manager:
- Education: Bachelor’s degree in Finance, Business Administration, or a related field is required.
- Experience: 5+ years in supervisory, compliance, or risk roles within a broker-dealer or financial institution, with experience at a major firm strongly preferred.
- Licensure: Active Series 7, Series 8 (or Series 9/10), and Series 66 (or Series 63 and 65) required.
- Certification: Series 3 and insurance licenses are strongly preferred.
- Technical Skills: Familiarity with risk monitoring platforms, internal audit tracking systems, and MS Office (Excel, Word, PowerPoint).
- Industry Knowledge: Strong understanding of FINRA, SEC, and state regulatory requirements, and supervisory frameworks across advisory and brokerage platforms.
- Skills & Attributes: Excellent communication and leadership skills, strong judgment in high-pressure scenarios, and proven ability to manage multiple priorities with independence and integrity.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.