Risk Manager Jobs

About The Position

Requirements

• Bachelor’s degree required.
• 5+ years of risk management and/or audit experience required.
• FINRA Series 7 license required or must be obtained within 12 months of hire.
• Experience in financial services, specifically trading, wealth management, asset management, investment advisory, and/or financial planning.
• Strong analytical, problem-solving, and systems-thinking skills, including the ability to independently identify, prioritize, monitor, communicate, and/or resolve issues and conduct root cause analysis.
• Strong written and verbal communication skills, with the ability to tailor communication to the audience.
• Experience building relationships and networks across varying levels of an organization.
• Experience with Microsoft Office and GRC tools.

Responsibilities

• Carry out risk and control activities for the Financial Planning line of business in alignment with the Enterprise Risk Management Program and divisional requirements.
• Manage issues and incidents, maintain critical business process inventories and mapping, and conduct risk assessments for existing operations, new projects, and strategic initiatives.
• Advise the team on divisional processes, historical risk results, firm policies and programs, and the ERM Program Framework and Standards.
• Partner with Business Owners to ensure policies, standards, and procedures align with ERM requirements, and support risk owners in evaluating remediation strategies and control enhancements.
• Execute requirements for open high risks, including root cause analysis, action plan development, evidence, and remediation documentation; support and challenge risk owners on action plan effectiveness.
• Identify and communicate emerging risk concerns, provide early warning of key risks to divisional leadership, and develop, inventory, and report on Key Risk Indicators (KRIs).
• Use a Governance, Risk, and Compliance (GRC) system to document risk issues and assessment data, and assist leadership with reporting and analysis for risk forums.
• Serve as a resource to divisional associates and business partners by developing risk training and education and supporting understanding of the Enterprise Risk Management Program.

Benefits

• Medical and prescription drug coverage
• Dental insurance
• Vision insurance
• Voluntary benefits, including accident, hospital indemnity, and critical illness coverage
• Short- and long-term disability coverage
• Basic life and basic AD&D coverage
• 401(k) retirement plan
• Health savings account
• Flexible spending account
• Ten paid holidays
• 15 days of vacation for new associates beginning on January 1 of each year
• Sick time
• Personal days
• Paid day for volunteerism
• Potential eligibility for bonuses and profit sharing
• Employee Assistance Program