Risk Director, Personal Investor (Sales and Client Management)

Overview :

As the Risk Director, Sales and Client Management you will have the opportunity to lead and mature the risk management program and offer provided to Personal Investor. This role will leverage industry practices, enterprise insights, and deep expertise to deliver trusted advice to the business, enabling risk-informed decision making. The incoming Risk Director will provide credible and effective challenge to the business in stewarding a risk-smart culture, and coordinate deployment of enterprise-wide risk initiatives for the Personal Investor Division.

Responsibilities:

• Develop, mentor, and provide guidance, training, and motivation, as necessary. Hire, evaluate, and counsel crew. Set performance standards, review performance, provide feedback, and recommend wage increases in accordance with all applicable Human Resources policies and procedures.
• Provide guidance and oversight to a team of risk practitioners as they analyze risks to the business and apply risk methodology to those risks. Be accountable for the timely completion of risk projects and ensuring the work of the risk practitioners is creating the desired outcomes.
• Engage with senior business leaders to understand their goals and identify risks to their business areas. Provide advice and guidance to business leaders to influence risk-smart decision-making.
• Design, implement, and lead the divisional risk management program. Provide divisional oversight to the enterprise and partners based on the operational and strategic risk framework. Maintain strong relationships with key stakeholders of aligned division. Responsible for cultivating a strong risk culture across division.
• Partner with key stakeholders to establish and implement risk and control management standards within the division's processes, based on the divisional risk profile and enterprise and divisional policies. Provide vision and leadership regarding existing and emerging risks, in alignment with strategic priorities. Effectively communicates strategies and plans to all appropriate parties.
• Develop and maintain in-depth knowledge and awareness of the investment industry, risk management practices, and regulatory and/or policy changes. Serve as a subject matter expert on risk management discussions. Take an active role in industry forums and remains current on issues and regulatory events affecting the division, firm, and industry.
• Participate in special projects and performs other duties as assigned.

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Knowledge of risk management theories and experience in applying risk management concepts.
• Knowledge of the broker dealer and distribution practices
• Experience in line of defense functions including risk, control, audit, or compliance.
• Ability to communicate, influence, navigate, persuade, and build buy-in across senior leaders and internal stakeholders.
• Servant-leadership mindset and a proven track record of developing talent.