What are the responsibilities and job description for the Risk Officer position at Ascendo Resources?
Seeking a Risk Officer who will be responsible for supervisory, compliance, and risk functions.
Your role:
- Facilitates any supervisory inquiry or process that requires escalation
- Focuses on business ethics and regulatory and compliance practices
- Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
- Specifically supervise all money movement and trade execution activities within the branch inclusive of transactions executed on the Fund Services and outside Custodial platforms
- Liaises with the Legal and Compliance Division with customer complaints and litigation
- Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
- In partnership with the Investment Officer, responsible for proactive client contact in determining suitability and managing risk
Qualifications
- Bachelor’s degree required or equivalent education
- Previous industry management experience
- Active Series 7, 8, 66 (or 63 and 65) and 9/10
- Experience with multi-family offices and institutions required
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
"Ascendo is a certified minority owned staffing firm, we welcome and celebrate diversity. Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, retaliation, parental status, military service or any non-merit factor.”
Recommended Skills
- Attention To Detail
- Auditing
- Communication
- Financial Industry Regulatory Authorities
- Lawsuits
- Leadership
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