Drive the risk and control strategy across Personal Wealth
Self Directed subdivision including control ownership, assurance activities (manual and automated), and business accountability.
Engage and lead the business to build and maintain a process and control environment that aligns with enterprise risk appetite and regulatory expectations.
Champion Control Automation and emerging technologies to strengthen control execution and reduce risk.
Define and embed Control Accountability across business teams, ensuring clarity of ownership and control execution.
Execute the RCSA program, embedding risk awareness, rigor and ownership throughout the business.
Execute of the Issue Management program including influencing timely and high-quality opening and closing of issues.
Serve as a key liaison to line of business partners including second line of defense and Internal Audit, ensuring proactive engagement, audit readiness, and issue management.
Deliver robust reporting and insights on control health and risk posture to senior leaders, enabling data driven decision making.

Minimum of ten years related work experience
Supervisory experience required
Undergraduate degree or equivalent combination of training and experience
Graduate degree preferred
Deep risk management expertise, control frameworks and operational risk
Experience in line of business risk, control assurance or internal audit, ideally in a regulated financial services environment
Strong relationship management and influencing skills across all levels of the organization
Ability to analyze data and translate it into meaningful insights and recommendations
Strong data literacy and ability to translate data into actionable insights and strategic recommendations
Experience with GRC platforms (e.g., Archer) is a plus
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes
FINRA SIE, Series 7, 63, and 24 are preferred.

Director, Controls Management

Key skills