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
A 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, supervisory oversight, audit preparation, data security, margin and credit decision monitoring, policy implementation, self-audit management, coaching and guidance, intelligence gathering on risk
Preferred skills
Leadership capabilities, supervisory experience, problem prioritization, trend identification, workflow organization, discretion, judgment
Technologies
N/A
Responsibilities
Manage Institutional Risk Officers to ensure consistent supervisory practices; oversee risk management procedures including data security; liaise with Legal and Compliance Division on complaints and litigation; prepare for and respond to audits; monitor people risk; serve as primary source for client and Financial Advisor risk intelligence; actively participate in margin and credit decisions; facilitate compliance training for personnel.
Seniority
Senior, hands-on IC with supervisory responsibilities