Compliance & Risk Manager – Broker-Dealer Focus

Mischler Financial Group; Irvine (CA); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

401(k)

Medical

Dental

Vision

Life Insurance

Employee Assistance Program (EAP)

Job summary

A securities industry leader located in Irvine, CA is in search of a Compliance Manager. This role includes managing regulatory compliance, risk assessments, and credit analysis. The ideal candidate will have at least 4 years of experience in the broker-dealer industry, strong analytical skills, and knowledge of SEC and FINRA regulations. Excellent communication is essential, and familiarity with tools such as Microsoft Excel and Bloomberg TOMS is preferred. The position offers competitive benefits including 401(k) and medical coverage.

Qualifications

• Bachelor's degree in finance, business administration, or a related field.
• 4+ years of relevant experience in the broker-dealer industry.
• Knowledge of SEC, FINRA regulations.
• Excellent analytical skills to interpret data sets.

Responsibilities

• Assess internal controls and risk areas.
• Monitor customer credit accounts for potential risks.
• Review regulatory trade reporting activities.
• Provide research support for regulatory inquiries.

Skills

Analytical skills

Communication skills

Ability to work independently

Knowledge of securities regulations

Education

Bachelor’s degree in finance or related field

Tools

Microsoft Excel

Bloomberg TOMS

Job description

A securities industry leader located in Irvine, CA is in search of a Compliance Manager. This role includes managing regulatory compliance, risk assessments, and credit analysis. The ideal candidate will have at least 4 years of experience in the broker-dealer industry, strong analytical skills, and knowledge of SEC and FINRA regulations. Excellent communication is essential, and familiarity with tools such as Microsoft Excel and Bloomberg TOMS is preferred. The position offers competitive benefits including 401(k) and medical coverage.