Risk Management Officer
Social Capital Resources LLCTampa, FL
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Overview
Remote
On-site
Job Description
A top Financial Services company is seeking a Risk Manager to join their growing team!
Responsibilities:
- Execute compliance testing and supervisory reviews aligned with SEC and Client requirements
- Track and support remediation efforts, ensuring timely implementation of corrective actions
- Assist in maintaining and updating compliance policies and procedures
- Partner with internal teams and auditors to support regulatory and compliance initiatives
- Draft and distribute compliance-related communications and guidance
- Support advisor onboarding and recruitment from a compliance perspective
- Contribute to ongoing process improvements and risk mitigation initiatives
Qualifications:
- Series 7 and Series 24 licenses
- 5+ years of experience in compliance, audit, risk management, or financial services
- Strong understanding of SEC and Client regulations
- Experience with risk-based testing and compliance program reviews
- Ability to manage multiple priorities in a fast-paced environment
- Strong written and verbal communication skills
- Detail-oriented, self-motivated, and collaborative mindset
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FAQs About Risk Management Officer Jobs at Social Capital Resources LLC
What is the work location for this position at Social Capital Resources LLC?
This job at Social Capital Resources LLC is located in Tampa, FL, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at Social Capital Resources LLC?
Employer has not shared pay details for this role.
What employment applies to this position at Social Capital Resources LLC?
The employer has not provided this information. This may be discussed during the hiring process.
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