Title: Risk Officer (951-3)
Location: Omaha, NE
Compensation: Commensurate with experience
Summary
Independent full-service clearing/settlement firm serving introducing broker-dealer clients seeks a Risk Management professional who will be responsible for the leadership/innovation/
Responsibilities:
Oversee/direct the Risk Management department and be responsible for daily risk management of the introducing broker activity/proprietary activity.
Effectively develop comprehensive risk management processes/reports.
Exercise discretion in working with confidential/sensitive information regarding financial results/management decisions and work and communicate effectively with division heads/introducing brokers regarding risk management.
Manage/direct/control personnel management activities for department to include: performance appraisal/transfers/
Determine risks associated with customer margin accounts, introducing broker inventory margin accounts, fixed income and equity trading desks, securities lending desks, introducing broker and account trading limits
Develop processes to monitor risks on a continual basis
Coordinate review of new business activities; develop understanding of associated risks; coordinate assimilation of due diligence materials for ultimate analysis at credit committee
Coordinate review of new banking relationships for bank sweep product
Conduct quarterly reviews of existing bank relationships
Requirements:
Extensive educational background and/or experience in Risk Management
Bachelor’s degree required
At least 5 years of direct experience in the field
Strong analytical and problem solving skills, ability to work independently, sound decision-making abilities and strong oral and written communication and human relations skills
Understanding and working knowledge of risk management systems, spreadsheet and relational database software
Successful completion of the FINRA General Securities Representative Exam (Series 7) and Financial and Operations Principal Exam (Series 24)
Familiarity with FINRA and SEC rules and regulations
Strong managerial and organizational skills
Working knowledge of EEO regulations
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Nicole Sarillo
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x111
Nicole@brokerageconsultants.
www.brokerageconsultants.com
Location: Omaha, NE
Compensation: Commensurate with experience
Summary
Independent full-service clearing/settlement firm serving introducing broker-dealer clients seeks a Risk Management professional who will be responsible for the leadership/innovation/
Responsibilities:
Oversee/direct the Risk Management department and be responsible for daily risk management of the introducing broker activity/proprietary activity.
Effectively develop comprehensive risk management processes/reports.
Exercise discretion in working with confidential/sensitive information regarding financial results/management decisions and work and communicate effectively with division heads/introducing brokers regarding risk management.
Manage/direct/control personnel management activities for department to include: performance appraisal/transfers/
Determine risks associated with customer margin accounts, introducing broker inventory margin accounts, fixed income and equity trading desks, securities lending desks, introducing broker and account trading limits
Develop processes to monitor risks on a continual basis
Coordinate review of new business activities; develop understanding of associated risks; coordinate assimilation of due diligence materials for ultimate analysis at credit committee
Coordinate review of new banking relationships for bank sweep product
Conduct quarterly reviews of existing bank relationships
Requirements:
Extensive educational background and/or experience in Risk Management
Bachelor’s degree required
At least 5 years of direct experience in the field
Strong analytical and problem solving skills, ability to work independently, sound decision-making abilities and strong oral and written communication and human relations skills
Understanding and working knowledge of risk management systems, spreadsheet and relational database software
Successful completion of the FINRA General Securities Representative Exam (Series 7) and Financial and Operations Principal Exam (Series 24)
Familiarity with FINRA and SEC rules and regulations
Strong managerial and organizational skills
Working knowledge of EEO regulations
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Nicole Sarillo
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x111
Nicole@brokerageconsultants.
www.brokerageconsultants.com
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