Job Description

Key Responsibilities

• Provide direct oversight of governance, risk, and control functions to ensure controls are designed and operating effectively to mitigate operational, financial, regulatory, and compliance risk

• Oversee regulatory reporting, control functions, reporting dashboards, general ledger reconciliations, and related reporting processes

• Lead governance routines and committee coordination, including product, business review, risk, conflicts, and Regulation Best Interest governance forums

• Own and coordinate key governance processes, including risk program meetings, regulatory budget management, requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment oversight, testing coordination, and annual risk assessments

• Oversee policy, procedure, and supervisory control governance, including written supervisory procedures, Regulation Best Interest disclosure procedures, books and records coordination, revenue sharing procedures, communications with the public, outside business activity tracking, business continuity planning, and self-monitoring routines

• Coordinate internal and external audit activities, regulatory affairs requests, vendor risk oversight, licensing tracking and reporting, senior leader and process owner certifications, and contract repository governance

• Act as a primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators, including participation in industry advocacy efforts

• Identify control gaps and deficiencies, assess risk exposure and materiality, and implement cost-effective remediation strategies

• Build strong partnerships with senior leaders across Wealth Management Solutions and enterprise business partners to support governance, risk, regulatory, and operational objectives.

• Promote continuous improvement and a strong risk awareness culture across Wealth Management Solutions

• Lead and develop a team of risk professionals, including performance management, coaching, mentoring, and career development

• Foster a culture of accountability, risk awareness, and continuous improvement

Required Qualifications

• Bachelor’s degree or equivalent experience

• 10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations

• Active FINRA Series 7 and Series 24 licenses

• Strong knowledge of broker-dealer regulations and regulatory reporting frameworks

• Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines

• Proven ability to influence and collaborate across business lines and external stakeholders

• Prior team leadership experience

Preferred Qualifications

• Experience with advisory products, investment products, annuities, insurance, and retirement plans

• Strong relationship building skills - including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks

• Strong analytical, organizational, and time management skills

• Ability to drive results and meet deadlines to reduce risks

• Strong written and verbal communication skills

• Must be able to work independently

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).

In-OfficeCollaboration

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,productivityand personal connection, wedeliver forour stakeholders clients, advisors,employeesand 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 requireadditionalin-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Base Pay Salary