National Risk Officer

Primarily responsible for all risk, supervisory, and compliance functions for respective branch location(s) Reviews and responds to a variety of supervisory alerts in a timely and sufficient manner Support increased Risk Officer workload due to remediation requirements, new FA/FAA recruits onboarding, etc. Fill coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.) Assist Markets during periods of high-volume supervisory alerts Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO) Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment Interview clients where necessary, and collaborates with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts Liaises with the Legal and Compliance Division to respond to customer complaints and litigation Supports the preparation for and response to all branch exams and internal audits, and ensures that any audit findings are appropriately responded to and remediated National Risk Officers may travel to different Markets within the Region to provide support, as needed Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) Other licenses as required for role or by management Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred Ability to prioritize and resolve complex problems and escalate as necessary Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies Ability to organize and prioritize tasks and assignments in a deadline-oriented environment Ability to interact with Financial Advisors and clients Excellent judgment and the ability to be discreet in all matters High motivation and energy with ability to develop strong working relationships A calm demeanor and ability to work on multiple tasks at one time Self-starter with a strong attention to detail Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment Excellent problem-solving and business judgment Ability and willingness to voice ideas, in addition to following instructions Proficiency in MS Office, PowerPoint, Excel Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. Salary range for the position: [$120,000 $160,000] Yr.