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Senior Risk Manager, Executive Director - Wealth Management Operations
Finance & Investment Industry Company
New York, NY, United States
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Description
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.
Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.
Global Wealth Management Operations provides brokerage, investment and financial services to hundreds of thousands of individual investors. We apply our expertise in serving institutional clients to create new opportunities for people to achieve their personal financial goals. Company has one of the largest retail brokerage networks, with numerous worldwide representatives and retail locations. Our services are tailored to each client's investment objectives, risk tolerance, and financial needs. Products include mutual funds, stocks, bonds, and alternative investments where appropriate, as well as banking, mortgages, insurance and annuities.
The Company Wealth Management (WM), Client Account Services & Operations (CASO), Risk and Control department is seeking an Executive Director to take on the role of Lead Operations Risk/Control Manager for Client Account Services & Operations. This role will be located in New York, NY. This head of CASO Risk oversees the overall execution of the Operations Risk Framework for Client Account Services & Operations.
Functional responsibilities include, but are not limited to:
• Leading a team of risk professionals responsible for a broad set of risk management activities
• Executing the front to back operational control framework that allows Client Account Services & Operations to efficiently, effectively, and consistently manage risk across the organization
• Administering the Cross-CASO Risk & Control Self-Assessment (RCSA) Delivery
• Managing the execution of the Quarterly Independent Testing Program across CASO
• Overseeing Cross Divisional Risk Reporting to Senior Management and Senior Bank Stakeholders
• Managing the central Operations Risk Incident Reporting Program for CASO
• Consulting with internal groups such as Firm Operational Risk, Compliance, Legal, and other Ops teams on matters related to risk controls, self-assessments, incidents and infrastructure projects).
• Coordination of risk trends happening across the entire Client Account Services & Operations organization
• Execution of the Business Continuity Strategy for CASO
• Managing Information Security and Entitlements Strategy and activities for CASO
• Participate in ad-hoc risk/control projects
A significant part of the role will be to liaise with the various groups across the Firm, such as. Firmwide Operations Risk and Control, WM Risk, Shared Services & Banking Operations (SSBO) Risk, and the Firms Operational Risk Department. This candidate will report to the head of WM Ops Risk & Control, with a matrix line to the head of Client Account Services & Operations.
Qualifications
Skills & Experience:
• 10+ years of experience in Operations, audit, compliance, product management, technology management, or Operational Risk Management
• Strong Leadership Skills
• Superior verbal and written communication skills
• Organizational and project management skills
• Attention to detail, problem solving skills and sound judgment
• Highly analytical with a demonstrated ability to multi task
• Ability to work at a detailed level while at the same time maintaining executive level relationships
• Strong risk awareness and orientation
• Solid presentation skills
• Ability to communicate complex issues and proposals to senior management
• Ability to influence change across the organization