Senior Manager, Client Risk Prevention

Role Overview

• Manage performance and development of direct reports
• Apply regulations and best practices to provide service and guidance to employees
• Manage holds on client disbursements in accordance with FINRA Rule 2165
• Develop and maintain policies and procedures to protect against fraud
• Conduct onsite training and participate in training calls
• Maintain management reporting related to fraud and exploitation
• Participate in industry groups to stay abreast of priorities
• Maintain awareness of federal and state regulatory and reporting requirements

Requirements

• College degree or comparable securities industry work experience
• Strong understanding of financial industry regulations related to fraud, cyber fraud/scams and senior/vulnerable client concerns
• Outstanding verbal and written communication skills
• Advanced organizational skills, including the ability to multi-task and prioritize with high attention to detail
• 7+ years of securities/financial markets experience
• 1-3+ years of people management experience
• JD, MBA or other advanced degree (Nice-to-have)
• FINRA Series 7, 63 and 24 licenses (Nice-to-have)
• Certified Fraud Examiner (CFE) designation (Nice-to-have)

Benefits

• health, dental, vision, life, disability insurance
• 401(k) program with company-matching contributions
• paid-time off
• opportunities for professional development
• dynamic, collaborative work environment