Senior Risk Analyst: Regulatory & Operational Risk Expert

First Command; Fort Worth, Northern (TX, KY); Hybride; USD 95 000 - 130 000; Plein temps

Résumé du poste

First Command in Fort Worth, TX is seeking a Senior Risk Analyst to support the Compliance and Operational Risk Management Program for its BD/RIA activities. You will identify, assess, monitor, and report regulatory risks while partnering with leaders to strengthen risk controls across advisory and brokerage operations.

The role requires 5–7 years in risk-related functions, a finance/economics/business degree, and professional certifications (CRM/PRM/FRM/CRMA or FINRA licenses preferred).

Qualifications

• Bachelor's degree in finance, economics, business administration, or related field preferred.
• 5-7 years of experience in regulatory compliance, operational risk management, internal audit or related risk functions.
• Certifications such as FINRA Investment license(s), Insurance license(s) or CRM/PRM/FRM/CRMA preferred.

Responsabilités

• Support the compliance and operational risk management program for assigned BD/RIA activities, providing practical risk guidance that supports and informs business objectives.
• Assess and document risks across investment advisory processes, brokerage operations, product and securities activities, conflicts of interest, regulatory obligations, client-facing processes and related control environments.
• Assist in evaluating emerging risks, recurring issues, and control weaknesses to determine matters requiring escalation to business leaders and Risk Management leadership.
• Leverage data analytics, risk reporting, and business intelligence to assist with trend spotting and enterprise risk reporting.
• Assist in continuous improvement efforts related to risk management processes, control enhancements, and testing; support evaluations from audits and examinations.

Connaissances

Regulatory knowledge

Analytical thinking

Communication skills

Risk assessment

Project management

Formation

Bachelor's degree in finance, Economics, Business Administration, or related field

Certifications: CRM/PRM/FRM/CRMA or FINRA licenses (preferred)

Outils

Salesforce CRM

Pershing

Office 365

Description du poste

First Command in Fort Worth, TX is seeking a Senior Risk Analyst to support the Compliance and Operational Risk Management Program for its BD/RIA activities. You will identify, assess, monitor, and report regulatory risks while partnering with leaders to strengthen risk controls across advisory and brokerage operations.

The role requires 5–7 years in risk-related functions, a finance/economics/business degree, and professional certifications (CRM/PRM/FRM/CRMA or FINRA licenses preferred).