Wealth Management Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The CRU Risk Officer provides centralized risk oversight of the Wealth Management Financial Advisors, ensuring consistency in both the review and resolution of potential sales practice, suitability, and regulatory focus issues. This role involves working on complex risk matters and requires a high degree of analytical skills; the ideal candidate will be a self-starter with a strong business and risk analysis acumen.
Experience
1-3 years of industry experience
Risk or compliance experience strongly preferred
Experience in supervision a plus
Education
Bachelor’s degree or equivalent work experience
Licenses And Registrations
Must have an active Series 7 & 66 (or 65 and 63)
9 and 10 (or 8) or the ability to obtain the 9 and 10 within 30 days of hire
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