Central Review Unit Risk Officer
Core
Execute centralized supervisory and risk reviews to monitor sales practices, suitability, and regulatory compliance issues across the organization.
Role type
Senior IC risk officer (compliance/supervisory reviews)
Builds
Risk-based supervisory reviews and documentation for the Firm's centralized model
Domain
Financial services / Investment banking / Regulatory compliance
Required skills
Investigative skills, problem-solving, regulatory knowledge (SEC/FINRA), written/verbal communication, data analytics, Excel proficiency, independent work, stakeholder management
Preferred skills
Knowledge of Alternative Investments, Series 9/10 license
Technologies
Excel, data analytics tools
Responsibilities
Execute centralized supervisory and risk reviews using established methodologies; Review supervisory alerts, exceptions, and risk indicators; Identify emerging risks, control gaps, and trends; Partner with Field Risk, Compliance, Legal, and Business partners to resolve matters; Prepare clear documentation and recommendations; Support regulatory examinations and internal audits; Provide feedback to improve review methodologies.
Seniority
Mid-to-Senior, hands-on IC
