Risk Officer (951-3)


> Oversee/direct the Risk Management department and be responsible for daily risk management of the introducing broker activity/proprietary activity. > Effectively develop comprehensive risk management processes/reports. > Exercise discretion in working with confidential/sensitive information regarding financial results/management decisions and work and communicate effectively with division heads/introducing brokers regarding risk management. > Manage/direct/control personnel management activities for department to include: performance appraisal/transfers/promotions/training/development/long and short range planning/budget/expense control/hiring/salary administration/compliance/ team building/weekly one on one meetings with direct reports Determine risks associated with customer margin accounts, introducing broker inventory margin accounts, fixed income and equity trading desks, securities lending desks, introducing broker and account trading limits >Develop processes to monitor risks on a continual basis Coordinate review of new business activities; develop understanding of associated risks; coordinate assimilation of due diligence materials for ultimate analysis at credit committee > Coordinate review of new banking relationships for bank sweep product > Conduct quarterly reviews of existing bank relationships > Requirements: > Extensive educational background and/or experience in Risk Management > Bachelor s degree required At least 5 years of direct experience in the field Strong analytical and problem solving skills, ability to work independently, sound decision-making abilities and strong oral and written communication and human relations skills Understanding and working knowledge of risk management systems, spreadsheet and relational database software Successful completion of the FINRA >General Securities Representative Exam (Series 7) and Financial and Operations Principal Exam (Series 24) Familiarity with FINRA and SEC rules and regulations Strong managerial and organizational skill > Working knowledge of EEO regulations > If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.


Nicole Sarillo

Phone: 312-460-8111 ext. 111


10 S. Wacker Dr
Suite 1250
Omaha, Nebraska 60606
United States