Senior Institutional Risk Officer
Core
Senior Institutional Risk Officer responsible for supervisory, compliance, and risk functions for the Institutional Infrastructure Solutions (IIS) Market, ensuring adherence to laws, regulations, and firm policies.
Role type
Senior IC risk and compliance officer
Builds
Consistent control environment and compliant operations for the IIS Market
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Risk management, Regulatory compliance, Supervision, Audit management, Policy implementation, Client risk assessment, Credit decisions, Leadership
Preferred skills
Series 7, 8, 63, 65 licenses, Experience with SEC/FINRA, Supervisory experience
Technologies
N/A
Responsibilities
Manage risk, supervisory, and compliance functions; Communicate and facilitate supervisory inquiries; Provide coaching on policies and procedures; Ensure proper approval procedures; Manage Institutional Risk Officers; Monitor data security; Liaise with Legal and Compliance Division; Prepare for and respond to audits; Monitor people risk; Act as primary source for client and FA risk intelligence; Participate in margin and credit decisions.
Seniority
Senior, hands-on IC with direct reports