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 (centralized review)
Builds
Independent supervisory reviews, risk documentation, and remediation recommendations
Domain
Financial services / Regulatory compliance / Risk management
Required skills
Investigative skills, problem-solving, regulatory knowledge (SEC/FINRA), data analytics, documentation, stakeholder partnership
Preferred skills
Alternative investments knowledge, Series 9/10 licenses
Technologies
Excel, data analytics tools
Responsibilities
Execute centralized supervisory and risk reviews; Review supervisory alerts, exceptions, and risk indicators; Identify emerging risks, control gaps, and trends; Partner with Field Risk, Compliance, Legal, and Business partners; Support regulatory examinations and internal audits; Provide feedback on review methodologies
Seniority
Mid-Senior, hands-on IC