Senior Investment Portfolio Control Consultant

Role Overview

• Work with advisors daily providing investment risk data, reviewing investment strategies and benchmarks, and identifying key risk in client accounts.
• Conduct proactive reach outs to advisors to help them reduce investment risk in client accounts.
• Help train advisors on the use of analytic tools and firm resources, key investment risk controls, and the resolution to control alerts.
• Performs various moderately complex activities related to assessing portfolio risk exposures.
• Identify, assess, manage and mitigate current and emerging investment risk.
• Provides an aggregate view of portfolio risk and serves as a subject matter expert for measuring and managing investment risk.
• Consults and provides input into investment processes and governance.
• Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management.
• Utilizes multiple complex data sources; complies and mines sources to achieve data needs for analyses.
• Adheres to data management / data governance regulations and policies for data integrity.
• Lead or partner with the relevant business group to identify, assess, manage and mitigate current and emerging investment risk.
• Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals.
• Potentially lead projects and team initiatives to advance risk monitoring and/or serve as a guide for less experienced consultants.
• Consult and provide input into business processes, control execution, policies and procedure implementation and governance.
• Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management.

Requirements

• 4+ years of investment portfolio control experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 4+ years of Investment acumen and Investment risk experience
• FINRA registration including Series 7 and Series 66 (or FINRA recognized equivalents)
• Demonstrated leadership on cross-functional business initiatives as well as leading small working groups.
• Broad experience working with other departments in the firm including Product Management, compliance, operations, business control, EIT, supervision etc.
• Experience implementing policies and procedures, oversight of controls, and conducting supervisory review tasks.
• Project management experience leading projects, risk control efforts, including the Project Management Professional (PMP) Certificate
• Ability to prioritize work, meet deadlines, achieve goals and work under pressure in a dynamic and complex environment
• Experience with developing new control processes, understanding data file structure, and coordinating with EIT and Product Owner business partners
• Strong analytical skills with high attention to detail and accuracy
• Experience leading projects with third party vendors such as Blackrock Alladin, Morningstar Direct or FactSet
• Intermediate Microsoft Office Skills, including Excel
• Excellent verbal, written, and interpersonal communication skills
• BS/BA degree or higher in accounting or finance, computer science, engineering or other scientific background
• Chartered Financial Analyst (CFA) designation or demonstrated progress toward the designation.

Tech Stack

• PMP

Benefits

• Hybrid Work Schedule