Risk Officer
Core
Ensures risk, supervisory, and compliance functions for branch locations, maintaining adherence to business ethics, laws, and firm policies.
Role type
Senior IC risk and compliance officer
Builds
Compliant operating environment and risk management procedures for wealth management branches
Domain
Financial services / Wealth Management
Required skills
Regulatory compliance knowledge, supervisory oversight, client suitability assessment, audit response, policy implementation, data security monitoring, litigation liaison, team coaching
Preferred skills
Leadership capabilities, complex problem resolution, trend identification, workflow organization, discretion
Technologies
SEC, FINRA, Firm Compliance Policies and Procedures
Responsibilities
Monitor and implement risk management procedures including data security; Liaise with Legal and Compliance Division on customer complaints and litigation; Support preparation for and response to audits; Monitor people risk and ensure appropriate action; Provide coaching on policies to promote risk awareness; Ensure proper procedures for timely approvals; Act as primary source for intelligence on client and Financial Advisor risk
Seniority
Senior, hands-on IC