Supports day-to-day risk oversight for assigned business deliverables, project support, change management support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Support Risk Events to ensure appropriate root cause is identified, issues are resolved timely and appropriate controls/mitigation are put in place. Serve as escalation point of contact/ risk liaison to ensure appropriate information exchange and to drive forward risk reducing recommendations, testing and actions through resolution. Lead and assist with ongoing regulatory inquiries or audits in a timely and accurate manner.

REQUIRED QUALIFICATIONS

• Education: Bachelor’s degree or equivalent, relevant work experience (4-years). Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for education and experience.
• Progressive finance, accounting or insurance/risk management experience, preferably in a corporate environment.

PREFERRED QUALIFICATIONS

• Basic risk financial knowledge, including broker-dealer knowledge
• Financial/analytical reporting skills, including proficiency in Microsoft Office and/or a Risk Management Information System.
• Strong internal and external relationship management skills.
• Excellent analytical capabilities and interpersonal skills.

• Support alignment and issue resolution by assisting in the coordination of risk-related activities including escalated issues. Contribute to the identification and reduction of risk through system and process validation.
• Assist in regulatory and supervisory control efforts by collaborating with internal teams such as Compliance, Legal, and Product, to support the implementation and documentation of controls. Help interpret and apply relevant SEC and FINRA rules to business processes under the guidance of senior risk leaders.
• Facilitate alignment conversations, resolve escalated issues and act as a point of contact for business and senior leaders for assigned business lines.
• Provide expertise to other areas for enhancement and implementation, inclusive of Self –Monitoring plans, PCCs and other risk management functions.
• Enhance risk reporting through new ideas gathered from research, best practices and knowledge.
• Support audits and reviews by preparing documentation and assisting in the coordination of operational and regulatory audits (e.g., FINRA, NASD/SEC, Sarbanes-Oxley).