Private Wealth Risk Officer

Responsibilities

• Implement a risk oversight framework to monitor and assess risk for our Private Wealth business
• Lead and support strategic risk initiatives across Private Wealth areas to improve business functions and reduce risk
• Identify new areas for improvement, uncover underappreciated risks
• Create and curate risk dashboards to measure and track relevant risk factors
• Present to the risk management team, business heads and senior management on risk management efforts and initiatives
• Assist with a new buildout of Investment Risk technology infrastructure for investment risk oversight
• Utilize our Error and Incident Tracking System to diagnose thematic risks and develop proactive controls and solutions
• Partner with compliance, legal, operations, portfolio management, sales, fund accounting, and other groups to establish a robust control environment
• Complete Risk Reviews for at-risk business processes, groups or business units

• Bachelor’s degree
• 5-10 years relevant work experience, preferably with operational risk or process management
• Strong project management skills
• Highly analytical with a strong attention to detail
• Superior communication and interpersonal skills in order to elicit consensus from senior managers and colleagues in the firm
• Self-starter with the ability to work both independently and as part of a team
• Intermediate level understanding of the financial markets
• FINRA regulatory experience
• Series 24 preferred

• Bachelor’s degree
• Series 24