Job Description

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

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