The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

QUALIFICATIONS:

• Relevant experience in Capital financial industry; compliance/supervisory/business risk experience preferred
• FINRA Series 7, 66 (63/65), 24 and 31. Series 9/10 also preferred
• Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy
• Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives)
• Ability to assess and balance diverse priorities
• Strong networking, influencing and negotiating skills
• Strong analytical skills
• Excellent written and verbal communication skills in English required. Spanish and Portuguese preferred
• Strong organizational and time management skills
• Excellent interpersonal and diplomacy skills
• Ability to work independently and execute on agreed upon timelines
• Experience contributing to internal/external audits preferred
• Excellent problem solving skills. Ability to see the big picture with high attention to critical details
• Demonstrated ability to contribute to/participate in process improvement initiatives

EDUCATION:

• Bachelor’s/University degree or equivalent experience,
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MOST RELEVANT SKILLS

Please see the requirements listed above.
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OTHER RELEVANT SKILLS

For complementary skills, please see above and/or contact the recruiter.
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• Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may include but is not limited to email surveillance, correspondence, marketing material, complaints, outside activities, licensing/registration, trade blotters, trade errors, management of OSJ files, etc…
• Review and approval of new brokerage and managed accounts
• Review and dispositioning of designated supervisory reports
• Partner with Regional Supervisory Head and the Supervision team on the resolution of supervisory issues escalated
• Review and approval of designated bank-channel and broker-dealer investments
• Manage surveillance alerts within stated policy guidelines
• Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management
• Assist with ad-hoc projects and/or workflow testing as assigned by Manager
• Assist with coaching and training Registered Representatives when applicable
• Assist with conducting of periodic control meetings
• Assist with audits/examinations when applicable