Compliance Risk Manager

Company: Mohr Talent
Location: Austin
Posted on: April 7, 2025

Job Description:

Compliance Expert

Join our dynamic team and take the lead in ensuring the highest standards of compliance and risk management in the financial services industry. As a Compliance Risk Manager, you will be responsible for proactively identifying and mitigating operational and regulatory risks, ensuring that our organization's policies and procedures are up-to-date and effectively executed.

Overview

We are seeking a highly skilled and experienced professional to join our team. As a key member of our compliance team, you will be responsible for managing the examination process, overseeing the work of external vendors, and ensuring that our organization's Anti-Money Laundering (AML) and Cybersecurity programs are implemented and executed effectively. You will also serve as a subject matter expert, providing guidance and support to various departments within the organization.

Required Skills

• 
  
• Series 7 and 24 licenses
  
• 2+ years of auditing experience in a broker/dealer environment
  
• 5+ years of industry experience
  
• Strong understanding of Broker/Dealer and Investment Advisory regulations
  
• Proficiency in Microsoft applications (Word, Excel, Outlook)
  
• Familiarity with SEC, FINRA, MSRB, and other financial industry rules and regulations
  
• Experience with AML and Cybersecurity regulations and processes
  
  
  Nice to Have Skills
  
  
  • 
    
  • Experience with risk identification and assessment
    
  • Familiarity with regulatory report preparation (FINRA 3120/3130, SEC 206(4)-7)
    
  • Experience with vendor management and quality assurance processes
    
  • Strong communication and organizational skills
    
    
    Preferred Education and Experience
    
    
    • 
      
    • Bachelor's degree or equivalent industry experience
      
    • 2+ years of auditing experience in a broker/dealer environment
      
    • 5+ years of industry experience
      
      
      Other Requirements
      
      
      • 
        
      • Ability to work in an office environment with minimal travel
        
      • Ability to lift up to 20 pounds
        
      • Must be able to sit at a computer for long periods of time
        
        
        What We Offer
        
        
        • 
          
        • Competitive salary: $90K - $105K + bonus
          
        • Comprehensive benefits package, including full health, vision, and dental insurance, 401(k) plan, and voluntary plans
          
        • Opportunity to work with a dynamic and growing company in the financial services industry
          
        • Collaborative and supportive work environment
          
          
          If you are a motivated and experienced professional looking to take the next step in your career, we encourage you to apply.
          
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          MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

Keywords: Mohr Talent, Austin , Compliance Risk Manager, Executive , Austin, Texas