Risk Management Manager

Role Overview

• Provide operational and/or financial risk management by leading the organization in critical risk control development and day-to-day risk oversight.
• Provide project support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls.
• Serve as an escalation point of contact/risk liaison by working closely with business leaders, staff, and external partners to ensure appropriate information exchange and to drive forward risk reducing recommendations and actions.
• Facilitate alignment, resolve escalated issues and provide a point of contact for business and external senior leaders.
• Identify and reduce risk through system and process validation, ensure system reporting and systems displays are accurate and compliant.
• Provide expertise to other areas for enhancement and implementation of Self–Monitoring plans.
• Ensure regulatory and supervisory controls are in place for products and processes by acting as a point of contact for internal, external business partners, such as Compliance, Legal, Products, and senior leaders.
• Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
• Review reports illustrating risk parameters and metrics associated with business lines.
• Ensure data sources have high integrity and appropriate risk measures are used.
• Mitigate risk by developing and/or monitoring operational metrics across business.
• Initiate and/or conduct Risk Assessments across business.
• Develop and enhance risk measurement policies, procedures and metrics.
• Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.
• Lead operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley).

Requirements

• Bachelors degree or equivalent
• 3-5 years of relevant experience
• Strong analytical, organizational, and time management skills
• Strong ability to lead, partner, and influence across all leadership levels
• Excellent written and verbal communication skills
• Ability to drive results and meet deadlines to reduce risks
• Must be able to work independently
• Demonstrated people leadership experience, either through direct leadership or coaching/mentoring roles

Benefits

• health, dental and life insurances
• 401(k)
• vacation time
• sick time
• pay-for-performance compensation philosophy
• variable pay in the form of bonus, commissions, and/or long-term incentives