FINRA-Licensed Risk & Controls Supervisor

Jobtailor; Minnesota; On-site; USD 90,000 - 140,000; Full time

Job summary

Jobtailor in Minnesota is seeking an experienced Compliance Risk Analyst to participate in policy development, risk assessment, controls, and training within Integrated Brokerage. The role focuses on reviewing high‑risk investment activities and regulatory procedures.

You will collaborate with Financial Advisors, regional and senior management, and various business units, analyze data trends, and present recommendations for process improvements, technology enhancements, and stronger compliance

Qualifications

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management, or related experience.
• FINRA licensing: Series 7, 9/10, and 63 or equivalents, plus supervisory license required.
• Not eligible for visa sponsorship.
• Series 66 must be completed within 90 or 180 days.
• Ability to work in assigned office location for at least one year.

Responsibilities

• Participate and consult regarding policies, procedures, controls, tools, and training.
• Identify opportunities to maximize efficiencies within Integrated Brokerage.
• Review controls for high-risk investment strategies and complex products.
• Evaluate resources to monitor risk and guide process, technology enhancement changes.
• Present recommendations for resolving complex analyses using current and best practices.
• Gather and analyze data, identify trends, and present analysis through meaningful statistics.
• Collaborate with Financial Advisors, Regional and senior Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and various Business Units

Skills

Data Analysis

Process Improvement

Risk Monitoring

Control Evaluation

Statistical Analysis

Compliance Policies

Regulatory Procedures

Investment Strategy Review

Technology Enhancement

Insurance Brokerage Experience

Education

FINRA Series 7, 9/10, and 63

FINRA Series 66 Registration

FINRA Background Screening

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

Job description

Jobtailor in Minnesota is seeking an experienced Compliance Risk Analyst to participate in policy development, risk assessment, controls, and training within Integrated Brokerage. The role focuses on reviewing high‑risk investment activities and regulatory procedures.

You will collaborate with Financial Advisors, regional and senior management, and various business units, analyze data trends, and present recommendations for process improvements, technology enhancements, and stronger compliance