Responsible for leading and managing the Operational Risk component of the SAS Business Control Unit. This includes all associated operational risk and control mandates, wealth management risk focus areas, and business sponsored control enhancements. This role is accountable for business unit risk and control deliverables including implementation of enhanced controls, regulatory, and client litigation, audit preparation and related follow-up, RCSA expansion and maintenance, incident response and reporting, BCP planning and execution, outsourcing and vendor management, maintenance of written supervisory policies and procedures, and coordination of risk acceptances.
Additional responsibilities include ensuring commitments made by the business and support partners to mitigate risk are executed as agreed upon and contributing to the technology budgeting and prioritization processes to deliver tech related solutions to risk challenges. This individual must have strong executive presence and the ability to marshal the cross organizational resources to effectively respond to risk challenges and outage events that impact the business.
QUALIFICATIONS
• 7+ years of financial services experience required with strong knowledge of Wealth Management and the Advisory business
• Strong leadership and interpersonal skills with demonstrated ability to collaborate with and influence key stakeholders
• Successful track record of people management and team development
• Excellent problem solving capabilities, project management skills and business judgment
• Strong work ethic with ability to multi-task and work well under pressure
• Specific experience in Risk, Compliance and / or Audit a plus, and exposure to Product Management, Operations, Technology, Legal, Compliance and Risk is required
• College degree required. Graduate degree considered a plus
Send To A Friend
Posts
