Central Review Unit Risk Officer - Wealth Management Client Segment
Core
Lead analysis and oversight of core risk controls (Trade Supervision, Advisory Account activity, Suitability Reviews) for Wealth Management clients, leveraging data, technology, and AI to enhance surveillance and drive proactive risk outcomes.
Role type
Senior IC risk officer (wealth management)
Builds
Risk control frameworks and surveillance capabilities for the Wealth Management Client Segment
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | dashboards & analysis
Required skills
Financial markets and securities expertise, AI and data-driven risk management, regulatory framework transformation, investigative and critical thinking, trend and root cause analysis, advanced Excel and data analytics proficiency
Preferred skills
Alternative investments experience, technology/analytics process enhancement
Technologies
Excel, data analytics tools, AI, automation
Responsibilities
Lead analysis and oversight of Trade Supervision, Advisory Account activity, and Suitability Reviews; Serve as a trusted partner to Field Risk leadership; Own relationships with assigned Field Branches; Deliver high-impact reporting and trend analysis; Identify opportunities to modernize control frameworks with AI and automation
Seniority
Mid-Senior, hands-on IC
