Client Segment Risk Conduct, Controls & Governance - Control Design - Vice President
Core
Designing supervisory controls and processes to mitigate risks to clients and the Firm, including Financial Advisor sales practice misconduct and internal policy violations.
Role type
Vice President, Control Design & Governance
Builds
Supervisory control framework enhancements, including AI solutions
Domain
Financial Services / Wealth Management / Risk Management
Required skills
Risk management, Legal, Compliance, Sales practice conduct supervision, Product risk, Investment risk, Control design, Data analysis, Stakeholder coordination, Regulatory knowledge
Preferred skills
AI solution design, Series 7, 66, 24 certifications, Dataiku, Tableau
Technologies
Dataiku, Tableau, MS Office, PowerPoint, Excel
Responsibilities
Assess efficiency and effectiveness of existing controls, Identify enhancements to controls including AI solutions, Prioritize control enhancement initiatives, Implement control enhancements, Coordinate with Technology, Legal, Compliance, and Risk groups
Seniority
Vice President, Senior Leadership