Advise senior leadership on operational risks and risk mitigation strategies
Support and participate in risk governance meetings, including risk committee(s)
Lead a team responsible for identifying, assessing, and monitoring risk
Proactively identify, assess, and monitor operational risks and remediation action plans
Develop and track business unit key risk indicators to monitor operational risk profiles
Coordinate risk assessment program with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness
Collaborate with other lines of defense to identify emerging risks and opportunities
Timely investigate incidents, determine root cause, and advise on corrective actions
Oversee Brokerage issue management to ensure compliance with enterprise risk requirements
Build effective working relationships with business leaders and cross-functional partners
Requirements
Bachelor’s degree (required)
MBA, Juris Doctor, or other master’s degree with strong academic credentials (preferred)
8-10+ years of risk, compliance, legal, or audit experience at complex financial services institutions, e.g., asset managers, banks, regulatory agencies (required)
Experience independently delivering on the expectations for this role (required)
Experience with brokerage products and services, brokerage operations, or client service operations – including familiarity with regulatory requirements (required)
Ability to deliver engaging, compelling, and persuasive presentations and reporting (required)
Exceptional judgment and analytical skills – you will need to excel at quickly analyzing complex risk and business issues in a variety of substantive areas (required)
Experience with Archer GRC (preferred)
Benefits
comprehensive health care coverage
emotional well-being support
market-leading retirement
generous paid time off
parental leave
charitable giving employee match program
educational assistance including student loan repayment
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