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Fiduciary Risk Officer

4 months ago

Miami, United States Ascendo Resources Full time

About Us: A financial institution in the realm of private banking.

Requirements:

  • Experience in Private Banking with a strong understanding of industry standards and practices.
  • Proficiency in data analysis and report preparation using advanced Excel formulas, Pivot Tables, and the Microsoft Suite.
  • Fluency in both English and Spanish, enabling seamless communication with our diverse clientele.
  • Bachelor’s Degree or equivalent practical experience; a deep understanding of FINRA rules and regulations is advantageous.
  • Continuous drive for learning and self-improvement, with a commitment to staying abreast of industry trends and developments.
  • Exceptional organizational, management, and communication skills.


Essential Duties and Responsibilities:

  • Conduct thorough portfolio reviews to ensure client suitability and compliance with regulatory standards.
  • Monitor and expedite pending documentation, ensuring timely completion and adherence to protocols.
  • Provide comprehensive training to front office personnel on client suitability reviews, regulatory compliance, and sales practices.
  • Collaborate with information technology teams to enhance banking systems for improved risk management and efficiency.
  • Contribute to the development and oversight of new Private Banking products, ensuring alignment with risk mitigation strategies.
  • Liaise with Internal Auditors to provide necessary information for audits and reviews.
  • Prepare and deliver insightful reports and presentations for Compliance and Management Committees.
  • Validate the accuracy and currency of investment securities pricing and credit ratings through thorough review of the Security Master.
  • Proactively identify and address deviations in discretionary portfolios from mandated returns.
  • Maintain meticulous records of operational errors, facilitating transparency and accountability.
  • Serve as a dedicated Non-Registered Fingerprinted (NRF) Representative, supporting the Chief Compliance Officer in compliance tasks for Sabadell Securities.


Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, parental status, military service or any other characteristic protected by federal, state or local law.