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Mass Affluent – Operational Risk Vice President
Finance & Investment Industry Company
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
Description
Company Profile
Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department & Position Description
The Client Advisory Center (CAC) and Self-Directed teams serve the Mass Affluent client and are part of the Digital organization. CAC & Self-directed employees fit within a number of different roles including Financial Advisors, Client Service & Operations. The Learning Manager role sits within the Business Strategy & Risk group which supports the entire CAC business and will work alongside CAC management, staff and firm partners.
The Learning Manager will be responsible for developing a training curriculum for both Client Advisory Center (CAC) and Self-Directed employees. The curriculum will address new hire onboarding, competency requirements and the ongoing learning needs of employees in various roles. The Manager will also oversee the development of content as well as the facilitation of the training programming by the Learning team. The Manager will partner with Learning & Development teams across Wealth Management to leverage training programs that are currently used as well as creating new content to address gaps in the current program. The position interfaces with Financial Advisors, Service & Operations Associates and Managers within the business, as well as numerous partners throughout the Firm to achieve the learning proficiency required for our business.
Responsibilities
• Ownership of the Risk Control Self Assessment identification process, control testing and regular reviews
• Manage and perform risk-based Quality Assurance, including periodic self-audits to assess the adequacy and effectiveness of internal controls
• Lead role in addressing any issues and corresponding action plans for Audit-related items
• Provide senior management with key metric reporting as needed
• Oversight of all business entitlements including role maintenance as well as new role creation
• Management of Business Continuity plans
• Oversight for policy & procedure governance; development of metrics to measure adherence where applicable
• Represent the business for all WM Operational Risk and Compliance initiatives and remediation efforts
• Partner across multiple teams including the Complex Management team, Complex Risk Officers, and Field Operational Risk
• Ability to travel as necessary
Qualifications
Knowledge/Experience/Skill Requirements
• 5-7 years of experience in Risk management roles
• Strong understanding of operational risk governance frameworks
• Ability to establish governance protocols for risk oversight and monitoring
• Knowledge of operational risk-related regulatory guidance, including risk and control self-assessments
• Demonstrate leadership skills within a team environment
• Excellent written and verbal communication skills
• Extremely organized with high level of attention to detail
• Experience within the brokerage or other financial services industry