Risk & Controls Advisor- Advice & Wealth Management
About The Position
The Risk & Controls Advisor within Advice & Wealth Management is a business‑embedded risk partner supporting advice and brokerage operations, playing a key role in developing solutions to business challenges and conducting analysis to help management proactively address potential risks to the firm and its investors. This role works closely with business leaders and risk partners, including Compliance, Risk, and Internal Audit, to ensure effective risk management practices that support advisory activities while protecting clients and the firm. You will be essential in helping maintain robust processes and controls, strong oversight, and operational resilience across advisory and investment‑related business activities. The role also supports the development and implementation of a divisional framework that promotes strong governance and sustainable risk and control environment for both current and future wealth management business needs.
Requirements
- Experience translating data and analysis into insights on risk trends
- Strong problem‑solving skills and comfort navigating ambiguity
- Ability to simplify complex risk and control concepts for business partners
- Confidence influencing cross‑functional stakeholders
- Hands-on, consultative approach to risk management
- Minimum of five years' related work experience, with two years’ experience in risk management.
- Undergraduate degree or equivalent combination of training and experience.
- Strong understanding of regulatory and risk management principles
- Excellent communication and analytical skills
Nice To Haves
- Graduate degree preferred.
- Experience supporting advice or wealth management businesses (e.g., advisory platforms, brokerage, managed accounts, advisor supervision) preferred
Responsibilities
- Identify and assess risks across advisory products, client interactions, advisor workflows, and brokerage operations
- Partner with business leaders to develop practical risk mitigation strategies
- Evaluate control design and operating effectiveness; perform root cause analysis and drive remediation
- Provide consultative support on risk events, trends, and emerging issues
- Support policy development, governance, and ongoing monitoring
- Serve as a risk and controls subject matter resource for the wealth business
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
