Regulatory Risk Manager Regulatory Risk Manager …

Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Regulatory Risk Manager
JOB INFORMATION

We are currently partnered with a leading asset management firm with offices throughout the East Coast and Midwest. This firm is well known for its industry-leading diversity and inclusion, benefits, and work culture.

This individual would sit within their second line of defense risk team and would be a part of a firm-wide growth in their risk team. The Regulatory Risk manager will be assisting in the firm's enhancement of their risk infrastructure and would be entering a rare opportunity of joining a well-established firm in an entrepreneurial growth mode.

JOB DUTIES
  • Take part in the oversight of various functions that involve communication with regulators
  • Perform tests of the infrastructure to identify errors in the system
  • Review validation findings/reports to regulators
  • Discover, research, and action errors/areas of concerns discovered through testing
  • Assist in general areas that help protect the firm as well as its customers
JOB QUALIFICATIONS
  • Education
    • Bachelor's degree
  • Experience
    • 2-5 years of risk management, governance, compliance, or audit
    • Experience in brokerage roles, knowledge of various products/trade confirmation a plus
  • Certifications
    • Series 99, 24, or 7 a plus
  • Sponsorship
    • Case by case basis
If this role is of interest to you feel free to apply!

#LI-JB2

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