Return To Work - Central Review Risk Officer- Wealth Management Client Segment | South Jordan, UT
Core
Central Review Risk Officer overseeing sales practices, suitability, and regulatory compliance for the Wealth Management Client Segment, leveraging data and AI to enhance surveillance.
Role type
Senior IC risk officer (wealth management)
Builds
Risk control frameworks, surveillance capabilities, and regulatory compliance reports for the Wealth Management Client Segment
Domain
Financial services / Wealth Management / Risk Management
Deliverable
production ML models | dashboards & analysis | client delivery
Required skills
Risk management, regulatory compliance (SEC/FINRA), data analytics, AI application, trade supervision, suitability review, root cause analysis, strategic risk assessment
Preferred skills
Alternative investments, technology integration, advanced financial products
Technologies
Excel, data analytics tools, AI, automation
Responsibilities
Lead analysis and oversight of core risk controls (Trade Supervision, Advisory Account activity, 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 using AI and analytics
Seniority
Senior, hands-on IC