First Line Risk Senior Manager

4 days ago


Tarrytown, New York, United States Citizens Financial Group, Inc. Full time
Job Description

Citizens Financial Group, Inc. is seeking a highly skilled First Line Risk Senior Manager to support our Private Wealth Management - RIA and Trust Fiduciary businesses. As a key member of our team, you will be responsible for identifying and mitigating potential risks through the identification, management, and mitigation of the risk and controls environment.

Key Responsibilities:

  • Represent the first line of defense and identify emerging risks, escalating to the Senior Director/Director of First Line Risk where appropriate.
  • Develop, manage, and mitigate various types of risk with specific focus on aspects of compliance and operational risk for Wealth Management.
  • Work with the Director to adhere to internal governance processes and controls for existing and new risk strategies and provide suggestions for remediation.
  • Lead change control efforts to ensure impacts are appropriately assessed, documented, and implemented.

Requirements:

  • 6-8+ years' experience in Wealth Management Risk Management, Audit, or Compliance.
  • 6+ years' Risk and Compliance experience with advanced Broker-Dealer, Registered Investment Advisor, 12 CFR 9 Trust and Fiduciary business, including exposure to Alternative Investments and 33 and 40 Act programs.
  • Subject matter expertise in the governance of investment management products and services, including direct support to the Chief Fiduciary and Investment Officer of the firm.
  • Accomplished background in brokerage, insurance, investment adviser, and general securities matters required.

What We Offer:

  • Competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.
  • A fulfilling career with exciting new challenges and opportunities to stretch yourself.
  • A supportive work environment that values diversity, equity and inclusion.


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