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Risk Director, Investment Banking
1 month ago
Description
The Risk Director, Investment Banking is a leadership role on the Commercial Banking Risk team, which is a front-line unit risk function. The Risk Director will support the investment banking business of Citizens, which includes syndicated loan underwriting and sales & trading; debt and equity securities underwriting and sales & trading, and mergers and acquisitions advisory business that operate within Capital Markets and Advisory. The Risk Director is responsible, along with business unit management, for establishing and monitoring all aspects of material risk related to investment banking. Determines if actions need to be taken to strengthen risk management or reduce risk given performance against the business units risk profile and tolerances. The Risk Director is responsible for developing and maintaining an effective end to end risk management program including risk identification, assessment and quantification, aggregation reporting, monitoring and control improvement. This includes ensuring the risk management framework, processes and practices executed comply with internal policy and applicable regulatory requirements and expectations (in particular SEC and FINRA requirements around in scope businesses). Ensures appropriate exam outcomes through exam management protocols. Maintains strong relationships with business leaders, support staff, broker-dealer compliance, Independent Risk Management, Internal Audit, and the regulators of Capital Markets and Advisory.
Responsibilities Include (but are not limited to):
+ Manages all aspects of risk and assesses, on an ongoing basis, the material risks associated with the businesses in scope, including the manner in which products are developed, launched, sold and processed end to end. Determines if actions need to be taken to strengthen risk management or reduce risk given performance against the business units risk profile and tolerances.
+ Develops and maintains an effective end to end Risk Management program including control effectiveness measures, including execution of Risk and Control Self-Assessments (RCSA).
+ Responsible for issue management including partnering with business leaders to develop action plans that will deliver intended outcomes within defined timelines while identifying themes and related holistic remediation plans.
+ Provides day to day support to the business unit, providing knowledge and expertise on the appropriate implementation of Regulations, Rules and industry standards through procedures, other guidelines, and industry best practices. Provides regulatory expertise and solutions on complex risk and compliance issues based upon understanding of business unit's activities and products. Also acts as technical subject matter expert on one or more business processes or regulatory areas related to businesses in scope.
+ Ensures appropriate exam outcomes through exam management protocols. Maintains strong relationships with Independent Risk Management, Internal Audit, and regulators. Participate in all important interactions with the regulatory agencies.
+ Leads teams on risk and product related initiatives to meet corporate, divisional and business line objectives.
+ Advise on new products, initiatives and strategies from a risk and control perspective; guide the business unit(s) through the various governance approvals related to new initiatives; liaise with other risk areas and operations to ensure processes are designed with proper controls; and advocate on the business lines behalf to ensure effective and timely incorporation of risk management into everyday operations.
+ Manages and builds multiple teams of skilled, engaged and customer-focused colleagues including technical subject matter experts.
Experience and Skills:
+ 10+ years Risk management or equivalent experience gained from working in securities underwriting and trading, including articulation and assessment of key control adequacy and effectiveness.
+ Expert knowledge of FINRA and OCC internal controls and risk assessment requirements
+ Experience in an organization that is under strong regulatory oversight and scrutiny, preferably under the SEC, FINRA, and banking (FRB, OCC) regulatory agencies.
+ Knowledge of securities underwriting, sales, and trading risk management practices and regulatory requirements, along with supporting operations, key processes, controls, and common risk exposures..
+ Decisiveness and sound judgment on a consistent basis
+ Develop and maintain high impact relationships with senior executives.
+ Influencing and conflict resolution skills
+ Excellent business writing skills
+ Proven leadership and management skills in a professional environment
+ Project management skills to support multiple complex assignments on behalf of various stakeholders.
+ Proficient use of MS Word, MS Excel and PowerPoint and Visio
Education:
+ Bachelor's degree required.
+ Graduate degree or relevant professional designation preferred
Hours & Work Schedule: 4 days in the office
+ Hours per Week: 40
+ Work Schedule: Monday-Friday
#LI-CITIZENS2
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Equal Employment Opportunity
At Citizens, we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleagues or a dependents reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.
Equal Employment and Opportunity Employer
Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.
Why Work for Us
At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.
Citizens