Regulatory Readiness: Serve as a central governance and oversight for key regulatory programs (e.g. LIBOR, ADA) impacting the WM business. This will include:
- Establishment and maintenance of a framework for managing regulatory initiatives and readiness programs for the WM business segment
- Cross-coordination with key groups within the Firm and WM to ensure consistency and compliance; this may involve multiple business, technology, and control partners
- Development and ongoing reporting of program status and related issues; escalation of potential delays or issues impacting project deliverables and timeline
- Development of playbooks that can be used to manage existing and new projects
- Ensure comprehensive documentation standards are met and requirements, assumptions, changes in scope etc. associated with project and establish an audit trail to demonstrate these activities have been addressed
- Execute RCSA procedures designed to ensure completeness and accuracy of risks and controls recorded in the RCSA for the WM business
- Manage centralized operational risks that impact multiple business units across WM
- Support the development and enhancement of the RCSA and Control Governance policies, procedures and related training program, providing input and working with the relevant Firm ORD teams as required
- Analyze RCSA and related Operational Risk data to produce risk profile analysis for quality assurance, senior management and governance forums
- 6-10+ years of related experience in Financial Services, preferably within Wealth Management, and involvement in Operational Risk Management
- Knowledge of products and markets, particularly around retail brokerage or investment advisory programs, trade support, banking products and capital markets
- Proven ability to manage delivery/execution of a wide range of tasks and initiatives
- Ability to lead and influence cross-functional teams where there is no direct reporting chain
- Strong written and verbal communications skills, ability to interact at all levels of the organization and tailor messages appropriately
- Strong presentation skills, including ability to create polished PowerPoint presentations for various levels of management
- Independent self-starter who can manage multiple activities to defined deadlines
- Strong leadership, project management skills and ability to manage many competing priorities
- Ability to manage projects by ensuring on-time delivery and a high level of quality
- Excellent analytical, critical thinking, and organizational skills
- Highly skilled in Microsoft Excel, PowerPoint, and Word, Project and SharePoint
- Strong knowledge of the regulations governing the financial industry.
- Bachelor’s degree required, advanced degree a plus
“How to Find a Job” Books
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