Finance Credit and Risk Analyst – Newport Beach, CA
Work for a well-respected minority investment bank and institutional brokerage firm in Orange County. With a great leadership team, incredible employee appreciation and undeniable chances to grow – look what we have to offer you!
Hours : Aligned with The NYSE (NY), 6 AM – 2 PM
Pay : $75,000 - $95,000 or more based on experience. Plus annual plus discretionary annul bonus.
COMPANY PROFILE:
· A Service-Disabled-Veteran Owned minority investment bank and institutional brokerage company located in Newport Beach, CA.
· Investment banking services for primary debt and equity capital market transactions and better execution for institutional clients focused on domestic and international equities and more.
· Growing small business with personal and professional growth
FEATURES AND BENEFITS:
·401(k)
· Medical
· Dental
· Vision
· Life Insurance
· Employee Assistance Program (EAP)
ROLE YOU WILL PLAY:
Seeking detail-oriented Risk Manager/Analyst to join our firm. In this role, you will assess potential clients’ creditworthiness, conduct reviews of existing customers, and develop enhanced procedures for assessing risk. Additional responsibilities may include new account on-boarding, financial analysis, trade surveillance, and various compliance and operations projects as assigned.
The ideal candidate will understand risk management concepts, regulatory requirements, and trade surveillance, and have experience with account onboarding procedures and financial analysis.
Credit Manager Responsibilities:
· Assess the creditworthiness of new and existing customers by analyzing financial statements, credit reports, and other relevant information.
· Monitor and review customer credit accounts regularly to identify potential risks or credit limit adjustments.
· Develop and implement credit risk management strategies and policies.
· Identify and analyze trends and patterns related to credit risk and provide recommendations for mitigating potential risks.
Analyst Responsibilities:
· Financial & Process Analysis: Perform projects involving data and process analysis methods and techniques in support of various departments and business lines.
· Trade Surveillance: Conduct comprehensive trade surveillance activities to monitor and detect potential violations of regulatory requirements, market abuse, and insider trading. Utilize advanced surveillance tools to analyze trading activity and identify suspicious patterns or anomalies.
· Compliance and Operations related projects: As assigned.
BACKGROUND PROFILE:
·2 years of experience in risk management, credit monitoring, financial analysis, and compliance roles within the broker-dealer industry or financial services sector is preferred.
· Proficiency in MS Office, especially Excel
· Familiar with securities regulations, including SEC, FINRA, and margin reporting requirements.
· Excellent analytical skills with the ability to interpret complex data sets and identify trends, patterns, and anomalies.
· Bachelor's degree in finance, accounting or business administration. Advanced degree or professional certification preferred but not required.
· Preferred, not required, FINRA licenses: SIE, 7, and 63. Optional FINRA licenses: 24 and 14.
· Preferred, not required Instinet, Bloomberg TOMS & CMGR
...Farm and Ranch Assistant (6167) Location: Nebraska JobNumber: 6167 Farm and Ranch Assistant Position immediately available on a north east Nebraska operation. Some experience with row crops, feedlot, cow calf and/or hay production is required. Will be trained...
...that provides the applicant access to real time updates throughout the hiring process. HRTS will require new candidates to set up an account, which allows them to track their applications progress. Through their account portal, candidates will also be able to provide...
...Inter-City Fleet Driver/Transporter Pay: $9.00/hour Immediately hiring! No experience necessary! Unhappy in your ride-hailing or delivery driver gig? Were now seeking responsible people, like you, to join our growing enterprise. Become a member of our Avis...
...Medical Association Council of Education program in radiologic technology; associate's degree preferred. 2. Previous experience as a CT-Tech in an acute care environment is preferred Licensure: 1. Certification by the American Registry of Radiologic Technologists;...
Schedule: 4 days per week (Monday, Tuesday, Thursday and Saturday) Lovely, laid back Client in Wellington are looking for a Private Chef for 4 nights per week, dinners only for 4 adults. They love Mediterranean and Asian cuisines with a focus on fresh and...