supporting critical components of our risk program including risk assessments, incident and issue management, and key risk initiatives
Advise new product, business and senior leadership on operational risks and risk mitigation strategies
Proactively lead risk assessments to identify, assess, and monitor operational risks and control gaps
Partner closely with business leads to develop remediation action plans
Develop and track business unit key risk indicators to monitor operational risk profiles
Coordinate risk initiatives with other second-line-of-defense leaders and functions to optimize cross-functional effectiveness
Collaborate with legal, risk, and compliance across the organization to identify emerging risks and opportunities
Timely investigation of incidents, determine root cause, and advise on corrective actions
Build effective working relationships with business leaders and cross-functional partners

6-8+ years of risk, compliance, legal, or audit experience at financial services institutions, e.g., asset managers, banks, regulatory agencies
Experience with brokerage products and services, brokerage operations, or client service operations – including familiarity with regulatory requirements
Strong judgment and analytical skills
Knowledge of risk frameworks, risk classifications, and experience in conducting risk assessments
Proficiency in power point and excel
Experience with Archer GRC or any industry GRC tool
Bachelor’s degree
Independent worker with a bias to action

comprehensive health care coverage and emotional well-being support
market-leading retirement
generous paid time off and parental leave
charitable giving employee match program
educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career

Senior Manager, Brokerage Risk

Key skills