Wealth Management Risk Director
2 weeks ago
This position provides the overall Governance, Risk and Compliance strategic direction, management, and oversight for the Wealth Management division. This role is responsible for directing activities that align with our Enterprise Risk Management framework. The role serves as the subject matter expert with respect to laws, regulations, industry practices and fiduciary principles, bank policies and procedures and oversees the management of regulatory exams over all of the relevant functions in Wealth Management. This position leads the team that provides expertise and support to the first line of defense compliance and risk personnel within the individual Wealth teams (Private Wealth/Banking, Trust, and CFA). The role is also responsible to ensure the division is executing on our enterprise-wide Excellence Program.
Position Responsibilities
Serve as senior leader and subject matter expert to direct all first line of defense risk management responsibilities as outlined in the Enterprise Risk Management Framework for all the Wealth Management division to include Private Wealth/Banking, Trust and Brokerage.
Leadership and accountability for all risk management, governance, and compliance responsibilities.
Develop and effectively manage an ongoing, end-to-end risk identification, analysis, prioritization and management system for Wealth Management.
Lead and direct staff responsible for managing regulatory exams within Wealth Management, coordinating with business management, Legal and Compliance. Lead, direct staff responsible for executing business unit transaction and control testing, data governance, reporting and remediation planning on behalf of Wealth.
Lead, direct and counsel staff responsible for internal audit reviews, compliance control exams and external audit reviews within Wealth, coordinating with line of business management and partnering in issue remediation efforts.
Lead and direct staff responsible for performing special reviews by internal or external parties of Wealth Mgt, coordinating with management, Legal and Compliance, as necessary.
Ensure 3rd party vendor risk activities are completed.
Lead and support business, risk and compliance committees in conjunction with management to ensure effective risk and compliance governance and related committee structure is in place.
Represent Wealth Management on corporate committees and legal entity board or subcommittees, as directed including EWCC, ORMC and BUIOC. Illustrate and ensure effective execution of first line of defense responsibilities as defined in the Enterprise Risk Management framework, including coordination of RCSA process and completion of annual surveys and risk assessments initiated by Corporate Compliance and Enterprise Risk Management, as well as ensure Sales and Incentive Plans drive desired behaviors to minimize sales practice concerns.
Drive collaboration across the other revenue generating groups (Commercial Bank & Retail).
Position Qualifications:
Bachelor's degree from accredited University
10 or more years leading a successful operation, compliance or risk function
7 years financial services experience
7 years management experience
7 years excellent analytical, problem-solving, and decision-making abilities
Comerica Bank Tower
8:00am - 5:00pm Monday - Friday
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