In this role, you will provide operational and/or financial risk management by leading the organization in critical risk control development and day-to-day risk oversight. You will also provide project support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Additional responsibilities include serving as escalation point of contact/ risk liaison by working closely with business leaders, staff, and external partners to ensure appropriate information exchange and to drive forward risk reducing recommendations and actions.
Key Responsibilities
Facilitate alignment, resolve escalated issues and provide a point of contact for business and external senior leaders. Identify and reduce risk through system and process validation, ensure system reporting and systems displays are accurate and compliant. Provide expertise to other areas for enhancement and implementation of Self –Monitoring plans.
Ensure regulatory and supervisory controls are in place for products and processes by acting as a point of contact for internal, external business partners, such as Compliance, Legal, Products, and senior leaders. Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
Review reports illustrating risk parameters and metrics associated with business lines. Ensure data sources have high integrity and appropriate risk measures are used. Mitigate risk by developing and/or monitoring operational metrics across business. Initiate and/or conduct Risk Assessments across business.
Develop and enhance risk measurement policies, procedures and metrics.
Enhance risk reporting with new ideas gathered from research, best practices, and knowledge.
Lead operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley).
Required Qualifications
Preferred Qualifications
Microsoft Power Platform experience
Strong analytical, organizational, and time management skill
Strong ability to lead, partner, and influence across all leadership levels
Excellent written and verbal communication skills
Ability to drive results and meet deadlines to reduce risks
Must be able to work independently
Demonstrated people leadership experience, either through direct leadership or coaching/mentoring roles.
Strong internal and external relationship management skills.
Excellent analytical capabilities and interpersonal skills.
Broker dealer/risk management experience.
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $87,400 - $120,200/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full time
Exempt
Business Support & Operations
CLEAR Clearing
