Associate I, CRU Risk
Core
Develop foundational knowledge of supervisory, compliance, operational, and reputational risk functions while supporting a consistent control environment for Private Wealth Management.
Role type
Associate I, Risk & Compliance Analyst
Builds
Supervisory control environment and risk analytics for Private Wealth Management
Domain
Financial Services / Private Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Risk analytics, regulatory compliance knowledge, data validation, process improvement, audit support, onboarding support, technology adoption
Preferred skills
SIE, Series 7, Series 66, Series 9, Series 10 licenses, SEC/FINRA policy knowledge, AI-enabled tools proficiency
Technologies
Supervisory technology, data analytics tools, automation tools, AI-enabled tools
Responsibilities
Monitor supervisory inquiries and escalation processes, assist with supervisory approvals, respond to policy and regulatory inquiries, support audits and remediation, handle customer complaints and litigation with Legal/Compliance, monitor people risk, perform risk review and onboarding for Wealth Advisor recruits, analyze supervisory data to identify trends and exceptions.
Seniority
Entry-level, hands-on IC