Risk Director, Investment Banking

2 weeks ago


Johnston, United States Citizens Full time
Job Summary

The Risk Director, Investment Banking is a critical leadership role within the Commercial Banking Risk team, responsible for supporting the investment banking business of Citizens. This 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.

Key Responsibilities
  • Risk Management: Develop and maintain an effective end-to-end risk management program, including risk identification, assessment, and quantification, aggregation reporting, monitoring, and control improvement.
  • Regulatory Compliance: Ensure the risk management framework, processes, and practices executed comply with internal policy and applicable regulatory requirements and expectations, particularly SEC and FINRA requirements.
  • Exam Management: Ensure appropriate exam outcomes through exam management protocols and maintain strong relationships with business leaders, support staff, broker-dealer compliance, Independent Risk Management, Internal Audit, and regulators.
  • Leadership and Team Management: Manage and build multiple teams of skilled, engaged, and customer-focused colleagues, including technical subject matter experts.
  • Strategic Risk Management: Advise on new products, initiatives, and strategies from a risk and control perspective, guide the business unit through governance approvals, and liaise with other risk areas and operations to ensure processes are designed with proper controls.
Requirements
  • Experience: 10+ years of risk management or equivalent experience gained from working in securities underwriting and trading, including articulation and assessment of key control adequacy and effectiveness.
  • Expertise: Expert knowledge of FINRA and OCC internal controls and risk assessment requirements, experience in an organization under strong regulatory oversight, and knowledge of securities underwriting, sales, and trading risk management practices and regulatory requirements.
  • Leadership and Communication: Decisiveness, sound judgment, influencing and conflict resolution skills, excellent business writing skills, and proven leadership and management skills in a professional environment.
  • Education: Bachelor's degree required, graduate degree or relevant professional designation preferred.
Work Environment

4 days in the office, 40 hours per week, Monday-Friday. Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

Citizens is an equal employment opportunity employer and welcomes applications from diverse candidates. Employment decisions are based solely on experience, performance, and ability.



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