Corporate Risk Management's (CRM) mission statement is to minimize unexpected losses / gains and earnings volatility, and provide management information that drives strategic decision making and helps the business meet its objectives.
Corporate Risk and Control sets strategic direction to ensure the adoption of a consistent framework for the evaluation of risk, reviews the risk profile on a portfolio basis, and sets forth effective risk / control practices.
- Supports the Director in promoting consistent operational risk management policy and standards throughout the firm.
- Builds a strong partnership with business unit management to become a point of contact and risk advisor to the business
- Assists the Director with analyzing the operational risk exposure on a portfolio basis for a specific business unit
- Works with the Director to ensure that there is a balanced focus between the business goals of revenue growth with the need to maintain a proper risk / reward balance across locations and business units
- Takes the lead on risk assessments and control processes, as assigned. Includes coordinating with the business lines to gather and analyze operational risk data and perform risk assessments that identify key risks, controls and gaps
- Assists the Director with implementation and maintenance of operational risk tools and supports and leads project activities for key department initiatives
- Supports the analysis and reporting of various risk management data, including key risk indicators, to identify trends.
- Supports the Team responsible for Operational Risk coverage of the brokerage operations business unit.
- Work within a matrix structure helping to manage staff that may or may not be direct reports.
- 4 year college degree- business related preferred
- Strong organization and project management skills.
- 7+ years prior work experience in the financial services industry in the capacity of risk management (Operational, Financial, Market and/or Credit) or related fields including, financial analysis, operations or compliance.
- Knowledge of internal control and risk management concepts, financial services industry practices and regulatory requirements.
- Strong analytical and problem solving skills including the ability to probe sensitive issues while maintaining the highest level of integrity and objectivity.
- Ability to perform multiple tasks in a fluid environment and work both independently and as a team member.
- Strong data management skills, including the ability to support data sourcing and reporting processes.
- Strong verbal and written communication skills. Ability to interact with various levels of management.
- Must be able to show managerial courage and engage in constructive dialogue with various levels of management.
- Proficiency in computer applications, including Microsoft Office products (Word, Excel and PowerPoint) database and otherreporting applications.
- Excellent project management skills, including showing initiative and taking responsibility for projects.
- Prior experience managing personnel or teams preferred.
- Securities industry knowledge and experiencerequired.
- Series 7 preferred
- Additional licenses desired
- Military education or experience may be considered in lieu of civilian requirements listed.