This role is designed for a high-performing risk professional seeking to operate at the intersection of Wealth Management, advanced analytics, and next-generation risk oversight.
Join our Wealth Management Client Segment Risk team-an in-business risk function with direct impact on the integrity of The Firm. Within this team, the Central Review Unit (CRU) serves as a centralized hub of experienced Risk Officers responsible for overseeing and continuously evolving a sophisticated control framework focused on sales practices, suitability, and regulatory compliance.
You will play a critical role in shaping how risk is identified, analyzed, and managed-leveraging data, technology, and artificial intelligence to enhance surveillance capabilities and drive smarter, more proactive risk outcomes.
Key Responsibilities- Lead the analysis and oversight of core risk controls, including Trade Supervision, Advisory Account activity, and Suitability Reviews
- Serve as a trusted partner to Field Risk leadership, influencing outcomes and driving alignment across the business
- Own relationships with assigned Field Branches, leading recurring risk discussions and providing strategic guidance
- Deliver high-impact reporting and trend analysis, translating complex data into clear, actionable insights
- Identify opportunities to modernize and optimize the control framework, including the integration of AI, automation, and advanced analytics
Qualifications- Deep expertise in financial markets, securities, and wealth management products, with the ability to assess risk across complex scenarios
- Demonstrated aptitude for artificial intelligence and data-driven risk management, including the ability to apply analytics to enhance surveillance and controls
- Proven track record of strengthening or transforming risk and control frameworks
- Strong investigative and critical thinking skills, with the ability to independently drive issues from identification through resolution
- Sophisticated understanding of SEC, FINRA, and regulatory expectations within Wealth Management
- Advanced ability to identify trends, root causes, and emerging risks, and to deliver practical, scalable solutions
- Exceptional organizational and prioritization skills, with the ability to manage competing demands without compromising quality
- Strategic mindset with the ability to evaluate broader risk implications and anticipate downstream impacts
- Advanced technical proficiency, including Excel and data analytics tools
Experience- 3-5 years of experience in risk management, compliance, or supervisory functions within financial services
- Experience with Alternative Investments and complex financial products is strongly preferred
- Demonstrated experience leveraging technology or analytics to enhance risk processes is highly desirable
Education- Bachelor's degree or equivalent experience required
Licenses & Registrations- Active Series 7 & 66 (or 65 and 63) required
- Series 9 and 10 (or 8) preferred, or ability to obtain within 60 days of hire
Additional Requirements- Authorization to work in the U.S. without restrictions
- Successful completion of all applicable pre-employment requirements
Why This RoleThis is an opportunity to operate in a highly visible, high-impact role where you will directly influence the evolution of risk management within Wealth Management. You will be expected to challenge the status quo, bring innovative thinking, and leverage emerging technologies-including artificial intelligence-to elevate how risk is identified and managed.
This role is best suited for individuals who are not only strong risk managers, but also forward-thinking problem solvers eager to build the next generation of risk management.
