SRU Risk Analyst

Assist with the update and development of policies, procedures, technology enhancements and ensure they are aligned with departmental controls Collaborate with compliance, legal, and risk teams to ensure alignment with regulatory, firm, and departmental policies, while jointly analyzing and resolving escalations and exceptions on a case-by-case basis Keep current on SEC/FINRA and Compliance policies and procedure changes Reviewing the next day oversight report(s) with focus on compliance with firm policies and procedures Identify any risk trends, issues, or patterns that are detected from various aspects of daily responsibilities Assist with the periodic internal risk review self-assessments Resolve escalated issues and/or provide additional back up to other Regional Supervisors when necessary Provide world class customer service to both field facing and internal counterparts in all interactions including interactions with Senior Management Periodic touch points with Department and SRU Management to ensure consistency across sites and SRU departments Identify and provide risk-based training to SRU employees when necessary Other duties as assigned Series 7, 63 or 66, 9 and 10 or equivalent required 5-10 years industry experience. Field (branch) experience a plus Confidence and decision-making skills that provide ability to make calls in ambiguous situations Previous risk management or related supervisory experience preferred Ability to prioritize a high volume of activity in a demanding environment across multiple time zones Appropriate identification and escalation of issues to mitigate risk 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. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.