Job DescriptionThis position provides analysis and supports Risk Management initiatives. Supports day-to-day risk oversight for assigned business deliverables, project support, change management support and lead process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Support Risk Events to ensure appropriate root cause is identified, issues are resolved timely and appropriate controls/mitigation are put in place. Serve as escalation point of contact/ risk liaison to ensure appropriate information exchange and to drive forward risk reducing recommendations, testing and actions through resolution. Lead and assist with ongoing regulatory inquiries or audits in a timely and accurate manner.
Key Responsibilities- Analyze, identify, research and resolve data issues for reports and statistics utilized by the team. Utilizing knowledge of the systems, implement other solutions to resolve data issues.
- Responsible for loading and reconciling risk information/data into specific systems used to provide reports and statistics to provide analysis for the Sr Risk Management leaders. Maintain the integrity and accuracy of the data in the system.
- Facilitate alignment conversations, resolve escalated issues and act as a point of contact for business and senior leaders for assigned business lines.
- Proactively identify opportunities and recommend solutions to mitigate current and future business risk.
- Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
- Assist with operational and regulatory audits or inquiries in a timely and accurate manner.
- Provide expertise to other areas for enhancement and implementation, inclusive of Self -Monitoring plans, PCCs and other risk management functions.
- Build and maintain Power Apps to support operational risk processes.
- Create and manage Power Automate flows, leveraging various triggers and actions, including integration with SharePoint, Teams, Outlook, and Power Apps.
Required Qualifications- Education: Bachelors degree or equivalent (4-years)
- Experience: 3-5 years of relevant experience.
- Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for
education and experience. - Microsoft Power Platform experience.
- Financial/analytical reporting skills, including proficiency in Microsoft Office and/or a Risk Management Information System.
Preferred Qualifications- Basic risk knowledge, including broker dealer knowledge
- Strong internal and external relationship management skills.
- Excellent analytical capabilities and interpersonal skills.
Visa SponsorshipApplicants 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-Office CollaborationWe 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.
Base Pay SalaryThe estimated base salary for this role is $76,300 - $104,900 / 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/Part-TimeFull time
Exempt/Non-ExemptExempt
Job Family GroupBusiness Support & Operations
Line of Business CLEAR Clearing
