Quality & Risk Manager

📋 Description

• Support the firm’s quality/audit function end-to-end, including sample review of escalation results
• Oversee continuous monitoring programs to ensure supervisory controls are functioning as designed.
• Support Rule 3120 review activities and coordinate findings with the CCO.
• Support the Risk Management function and represent Quality & Risk at the Risk Committee.
• Own issue-escalation processes, driving timely resolution across teams.
• Conduct root-cause analysis on escalation results and recommend remediation actions.

🎯 Requirements

• Bachelor’s degree in business, finance, or a related field.
• 5+ years of experience in compliance, risk management, or audit within financial services or a
• Prior experience managing or leading a team.
• Strong understanding of FINRA rules (including Rule 3120), risk management frameworks, and
• Excellent judgment, communication, and stakeholder-management skills.
• Experience with vendor oversight, technology risk, or cyber testing programs.

🎁 Benefits

• 100% Remote work
• Generous Paid Time Off
• Benefits Package
• Paid Family Leave
• Diverse and inclusive culture