Director, Risk Management Lead

4 days ago


San Francisco, California, United States Early Warning Services LLC Full time
Overview

Early Warning Services LLC is a leading provider of innovative solutions for the financial services industry. We are seeking an experienced Director, Risk Management to join our team in Scottsdale, San Francisco, Chicago, or New York.

This role will play a critical part in ensuring that our business lines operate within regulatory requirements and maintain a strong control environment. The successful candidate will have a proven track record of leading regulatory and audit management functions in a 3LOD environment and be able to drive effective risk mitigation strategies across multiple business lines.

The Director, Risk Management will be responsible for developing and implementing a centralized first-line of defense (LOD1) regulatory and audit management program that aligns with Early Warning's Enterprise Risk Management framework. This includes building and managing assigned business line's LOD1 function, partnering with Compliance and other Risk functions to understand and monitor applicable regulations and requirements, and driving periodic executive level reporting regarding business risk management activities.

Key Responsibilities
  1. Lead the development and implementation of a centralized LOD1 regulatory and audit management program that aligns with Early Warning's Enterprise Risk Management framework.
  2. Build and manage assigned business line's LOD1 function, including strategic vision and implementation plans, acting as the assigned business liaison to Enterprise Risk Management, Operational Risk Management, and Compliance.
  3. Partner with Compliance and other Risk functions to understand and monitor applicable regulations and requirements, assess business impact, and drive appropriate projects and processes to address needed changes.
  4. Drive periodic executive level reporting regarding business risk management activities, working closely with assigned business-line leadership.
  5. Develop a 1LOD risk management governance process across the business lines to support decision making and escalation regarding risks that may not be consistent with the business' risk tolerance.
Requirements
  • Bachelor's degree in Business Administration, Finance, Accounting, Technology, Security, or other related field of specialty.
  • 10 or more years of risk-related experience in the financial services industry or experience within a three-lines of defense program.
  • Demonstrated success leading regulatory, audit, or risk functions in a 3LOD environment.
  • Demonstrated ability to work effectively in a complex, highly regulated environment.
  • Excellent problem solver with effective change management skills.
  • Working knowledge of regulatory requirements specific to the assigned business line, financial services, or payments industry, where applicable.
  • Excellent communication, organization, and interpersonal skills, with demonstrated ability to collaborate and build trust in business partners, internal/external, and regulatory agencies.
Preferred Qualifications
  • Experience interacting with executive management.
  • Demonstrated experience working in multiple risk disciplines, including but not limited to product, regulatory and compliance, third-party, reputation, competitive, etc.
  • Risk management, internal control, or internal audit certification(s).
  • First-line-of-defense risk management experience in a regulated financial institution.
  • Proficient in writing policies and procedures.

We offer a competitive salary of $145,000 - $185,000 per year, depending on experience, plus benefits including health insurance, retirement savings plan, paid time off, and opportunities for professional growth and development.



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