Review Unit Risk Officer

The Central Review Unit Risk Officer is a member of the Central Review Unit (CRU) and is responsible for executing a comprehensive suite of controls to monitor potential sales practices, suitability, and regulatory compliance issues. Through a consistent, standardized review framework, the Central Review Unit Risk Officer helps ensure the effective application of Firm policies, regulatory requirements, and supervisory practices across the organization.

The Central Review Unit Risk Officer partners with Field Risk leadership, Compliance, Legal, and Business partners to conduct independent supervisory reviews, identify emerging risks and trends, recommend appropriate remediation, and promote consistent risk management practices across all markets. This role supports the Firm's centralized supervisory model by delivering high-quality, risk-based reviews that enhance oversight, improve consistency, and strengthen the overall control environment.

• Execute centralized supervisory and risk reviews using established enterprise review methodologies and standards.
• Review supervisory alerts, exceptions, and risk indicators in a timely manner and document findings in accordance with Firm procedures.
• Apply Firm policies and regulatory requirements consistently across all assigned reviews, regardless of geographic location or market.
• Identify emerging risks, control gaps, trends, and opportunities for process improvement, escalating issues as appropriate.
• Partner with Field Risk, Compliance, Legal, and Business partners to resolve supervisory matters and support timely remediation.
• Prepare clear, well-supported documentation and recommendations resulting from centralized reviews.
• Support regulatory examinations, internal audits, and control testing by providing documentation, analysis, and subject matter expertise.
• Provide feedback that contributes to the continuous improvement of centralized review methodologies, procedures, reporting, and quality standards.
• Collaborate across the Central Review Unit to promote consistency, knowledge sharing, and best practices.
• Develop and maintain strong working relationships with stakeholders while operating independently from local market management.
• Contribute to enterprise initiatives that enhance supervisory effectiveness, operational efficiency, and risk governance.

• Strong investigative and problem-solving skills, with the ability to manage tasks from start to finish.
• Familiarity with SEC, FINRA, and firm compliance policies.
• Excellent written and verbal communication skills.
• Proficiency in identifying issues and trends, offering comprehensive solutions.
• Strong organizational skills to prioritize tasks and meet deadlines.
• Independent problem-solving capabilities.
• Capacity to manage large workloads while maintaining supervision integrity.
• Proactive approach to managing workload and daily tasks.
• Ability to assess the broader risk implications of supervisory activities.
• Flexibility to handle a diverse and dynamic workload.
• Advanced technological proficiency, particularly in Excel and data analytics tools.

5-10 years of industry experience, with a focus on risk or compliance. Advanced understanding of Alternative Investments and complex products is advantageous.

Bachelor’s degree or equivalent work experience.

• Active Series 7 & 66 (or 65 and 63) required.
• Series 9 and 10 (or
  8) preferred, or the ability to obtain within 60 days of hire.

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