Business Unit Risk Specialist I​/II - FINRA

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.

Need Help?

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).Regular or Temporary:

Regular Language Fluency:  English (Required)

Work Shift:

1st shift (United States of America)
Please review the following job description:

Business risk specialist responsible for supporting and executing governance activities, operational risk monitoring, issue management, remediation tracking, and enterprise risk program implementation across Wealth Management. Serves as a key contributor to operational risk management efforts by providing analysis, coordination, stakeholder support, and governance execution while reinforcing business ownership of risk, operational accountability, and adherence to enterprise governance requirements. Delivers visibility and analysis into operational risk trends, remediation progress, governance priorities, and business readiness activities through ongoing monitoring, reporting, and coordination activities.

ESSENTIAL DUTIES AND RESPONSIBILITIES Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

Risk Culture & Operational Integration
1.
Assess, evaluate, and communicate risk and governance issues, while promoting business ownership of risk and operational accountability through stakeholder engagement.
2.
Execute enterprise risk program requirements and governance activities across Wealth Management including assessing, monitoring, and escalating operational, control, and regulatory concerns.

Governance, Reporting & Leadership Support
3.
Analyze and interpret KRIs, risk reporting, and remediation activity, coordinating governance actions and commitments to promote accountability and effective risk management outcomes.
4.
Facilitate governance forums, escalations, and committee activities, including developing reporting and risk insights to inform leadership decisions and operational oversight.

Business Coordination & Operational Support
5.
Partner with ECCO, Compliance, Audit, Legal, and enterprise governance partners to advance governance objectives, stakeholder communication, and remediation efforts.
6.
Prepare audit, regulatory, and enterprise review readiness, including operational readiness activities for business initiatives, governance requirements, and enterprise programs.

Business-Specific Risk Support & Execution
7.
Assess and understand enterprise risk program activities, including RCSA, issue management, risk monitoring, and remediation tracking across supported business areas.
8.
Analyze incidents and risk trends, assess remediation effectiveness, and evaluate process weaknesses to identify risk mitigation opportunities and strengthen governance outcomes.

Qualifications

Required Qualifications The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training.
2. 5+ years of experience in a financial institution with emphasis on risk management or equivalent work experience and training, and/or equivalent education, training and experience.
3. Experience in compliance and operational risk mitigation and remediation.
4. Strong communication, interpersonal, presentation and negotiation skills.
5. Proven leadership and management skills.
6. Strong time management and organizational skills adaptable to a dynamic and complex work environment;
Capable of handling multiple projects concurrently.
7.

Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
8. Ability to travel, occasionally overnight.

Preferred Qualifications
1. Strongly preferred: FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66).2.…