First Line Risk Sr Director

3 weeks ago

Charlotte, United States Citizens Full time

Consumer Banking Risk Management has an immediate opening for Senior Risk Director, Wealth Management. The Senior Risk Director will develop, manage, and mitigate various types of risk with specific focus on aspects of compliance and operational risk for Wealth Management. This includes aspects of material risk related to how Wealth Management develops, launches, sells, and processes products and services. The Senior Risk Director will integrate activities between Risk, Compliance, and brokerage and Investment management Supervision. Experience in developing Private Wealth risk and compliance programs for dual-registered Broker-Dealer/Registered Investment Advisor, and RIA serving ultra-high net worth clients, 12 CFR 9 Trust and Fiduciary business, including exposure to Alternative Investments and 33 and 40 Act programs. 

The Senior Risk Director manages Consumer Banking Risk for Citizens Wealth Management, including Wealth Compliance. Responsible for leading the business in the development and execution of policies and procedures that mitigate various types of risk for the Wealth Management business. Oversee all components of the risk and compliance programs and constantly monitor risks, requirements, policies, and procedures to ensure that Wealth Management is effectively managing risk within its Risk Appetite and complies with regulatory standards. Utilize expertise to develop standards and procedures to ensure that Wealth Management teams comply with the regulatory laws and policies. Work with business leaders to strategize, recommend, and implement applicable risk management practices/ remediation activities that govern day-to-day and end-to-end risk management across functions. Promote a culture of risk and compliance awareness throughout Wealth Management and the bank by supporting the development of training and education on risk policies and practices. Provide leadership, expertise, and guidance to your team to design, implement, and influence internal governance processes and controls.

Responsibilities

Lead and direct the identification, and mitigation of material risks in the organization Lead the business in the development and execution of policies and procedures that mitigate various types of risk Oversee all components of the risk and compliance program and constantly monitor risks, requirements, policies, and procedures to ensure that risk is effectively managed within its Risk Appetite and complies with regulatory standards Design, implement, and/or influence internal governance processes. Manage Governance throughout the firm to ensure adherence to policies and procedures Advise and help senior management understand and manage risk and help to allocate capital in order to maximize risk-adjusted returns Reviews current policies and procedures to identify process gaps and opportunities for improvement Promote a culture of risk awareness and accountability through training, education, and risk management consultative support

Experience

12+ years’ experience in Wealth Management Risk Management, Audit, or Compliance 10+ 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 Extensive background in brokerage, insurance, investment adviser, and general securities matters required Must have experience dealing one on one with regulators such as FINRA, SEC, State Securities and State Insurance Divisions and Banking Regulatory Agencies Expertise in implementing and supporting enterprise-wide Risk programs Demonstrated strong negotiation skills; including the ability to influence through use of compelling facts, thought-provoking discussion and logic Deep Knowledge and understanding of regulatory and legislative guidelines  Extensive experience managing projects including planning, implementation, and reporting Proven relationship management skills, strong track record of ability to build trust and credibility through communication, actions and presence Extensive leadership skills including influencing without direct management Proven ability to work in a fast-paced environment with competing priorities Excellent communications skills, both written and verbal

Education

Bachelor’s Degree OR at least 10 years of work experience with an Advanced Degree (., Masters/MBA/JD/MD) OR at least 5 years of work experience with a PhD Individual must have the appropriate FINRA registrations including, but not limited to: Series 7, and Series 24; Series 4 (preferred)

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