The Market Risk and Business Service Officer is a Market leader responsible for integrating risk leadership, supervisory execution, and service excellence across the Market. Located onsite within the market, reporting to the Associate Regional Risk and Business Service Officer, the role sets clear expectations for how work is performed in the Market, ensures consistent application of controls and supervisory practices, drives a client-first culture of guardianship and is the single point of contact for escalated Risk and Service matters.

This role is a critical “operating executive” for the Market—responsible not only for managing risk and service performance, but also for modernizing how the Market operates. The role actively simplifies workflows, standardizes routines, reduces rework, and improves speed and quality of execution. A key expectation is to identify and implement productivity improvements through technology, including automation and AI-enabled tools (where appropriate and approved), while maintaining strong governance, documentation, and adherence to firm policies and supervisory requirements—aligned to the broader regional modernization and efficiency agenda.

Success is measured by strong client outcomes, consistent supervisory execution, reduced incidents and repeat findings, improved audit readiness, and measurable improvements in efficiency, turnaround time, and employee experience.

DUTIES AND RESPONSIBILITIES

Leadership and Team Management

• Lead the Market’s integrated risk and service organization; set priorities and deliver consistent outcomes across the Market.
• Directly lead and develop a team of Risk Officers, Business Service Officers, and Service Managers, reinforcing accountability, coaching, and performance expectations.
• Establish and maintain a strong culture of client-first service and guardianship; reinforce consistent behaviors and standards.
• Ensure appropriate supervisory coverage and support effective supervisory planning within the Market; escalate needs and risks appropriately.

Modernization and Efficiency (Market Operating Model)

• Simplify and standardize Market operating routines to reduce friction for field teams and clients (clear roles, consistent workflows, fewer handoffs).
• Identify and execute opportunities to improve efficiency and quality (e.g., elimination of duplicative steps, improved queue management, automation of repeatable tasks).
• Support responsible use of AI-enabled capabilities (where appropriate) to improve triage, documentation quality, exception management, and insight generation—ensuring controls, approvals, and governance are followed.

Risk, Controls, and Supervisory Execution

• Oversee execution of supervisory and risk routines (conduct, sales practice, operational and supervisory risk); ensure timely escalation and resolution of issues.
• Drive strong control discipline and documentation standards; reinforce “audit-ready” practices in day-to-day execution.
• Partner with the Market Executive to manage and solution escalated risk issues, is a key partner to the Special Investigations Unit (SIU) and HR. 
• Present the status of risk matters to senior Risk Governance committees and senior risk stakeholders.
• Manage and track against defined budgets (e.g., compensation, T&E)  
• Lead Market readiness for audits/exams/branch reviews; partner with regional and central teams on issue management, remediation, and sustainment.

Communication and Partnership

• Serve as a key partner to Market leadership to align priorities, resolve issues, and continuously improve the client and employee experience.
• Cascade regional/national policy changes, priorities, and best practices; ensure adoption and consistent execution.
• Build strong relationships with HR and key partners to support talent development, headcount needs, and performance management.

Operational Oversight

• Maintain a disciplined management cadence (metrics, issue logs, operational reviews) to drive performance and continuous improvement.
• Support approvals and escalations as required; apply sound judgment and ensure appropriate risk and control considerations.

EDUCATION, EXPERIENCE, KNOWLEDGE, AND SKILLS

Education/Experience

• Bachelor’s degree or equivalent education/experience required; advanced degree preferred.
• Significant leadership experience in risk, supervision, service, and/or business controls within a complex field organization.

Licenses/Registrations

• Active registrations consistent with senior leadership expectations (e.g., Series 7 and applicable supervisory/principal registrations; Series 63/65/66 as applicable; other licenses as required).

Knowledge/Skills

• Proven ability to lead managers and execute through multiple layers.
• Strong knowledge of supervisory practices, risk and controls, and regulatory expectations; strong judgment and escalation discipline.
• Strong change management capability, with demonstrated ability to modernize operating models and improve efficiency using technology (including AI/automation where appropriate).
• Excellent communication and stakeholder management skills; comfort influencing senior partners and leading large, geographically dispersed organizations.
• Ability to travel within the Region and to corporate offices as needed.

REPORTING RELATIONSHIPS

• Reports to: Associate Regional Risk and Business Service Officer
• Direct reports: Market Business Service Officers, Business Service Officers, Senior Risk Officers, Risk Officers, Service Managers