Perform trade surveillance and monitoring activities while appropriately documenting and proactively identifying potential risks and/or violations of policies or regulations specifically within the firm’s trade review systems.
Collaborate with trending department, field management, and business partners as needed to assist with development of corrective action plans designed to eliminate or reduce potential risks.
Regularly monitor and communicate surveillance or sales practice trends to relevant business partners and senior management.
Work efficiently and effectively to meet or exceed Firm benchmarks for timeliness and productivity.
Partner with Compliance, Field and Home Office business partners on regulatory matters and surveillance escalations.
Keep current with Firm policies and the regulatory environment.
Upon request from management, perform ad hoc projects, reviews or other duties as required or assigned.
Focus on the customer, act with integrity, value people, work collaboratively and achieve results.

Series 7 and 24 required at time of application
3+ years' experience in the financial services industry
2+ years’ broker dealer experience
High School Diploma
5+ years of broker dealer or compliance experience (ideal)
Series 53 & 4 (ideal)
System knowledge: Envestnet/MAS, BPM, Wealthscape, and/or FBSI
Works independently while collaborating with management, business partners and Compliance
Knowledge of trade review systems, computer skills, analytical competency and sound decision-making capacity
Strong Microsoft office skills including Outlook, Excel, PowerPoint and Word
Superior customer service, relationship building and communication skills
Excellent interpersonal skills; team player, self-motivated; patient demeanor; approachable style
Change agent experience with a constant focus on continuous improvement
Inclusive approach to working with the team and the ability to “listen to understand”
High aptitude for effective problem resolution.

Regular meetings with the Supervisory Controls Group
Maintain and improve relationships with all business partners
Focused one-on-one meetings with your manager
Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups
Access to learning content on Degreed and other informational platforms
Competitive salaries, along with incentive and bonus opportunities for all employees.

Risk Management Consultant

Key skills