About this role
Lead the WMFM Product Risk Team in enterprise risk management for Wealth Management and Field Management, guiding risk identification, assessment, monitoring, and remediation while partnering with senior leaders to drive governance and reporting.
Key Responsibilities
- Lead divisional ERM execution
- People leadership for up to eight associates
- Deliver risk insights to senior leaders
- Oversee risk identification, assessment, and remediation
- Ensure quality risk data for governance
Technical Overview
Finance risk leadership role with ERM framework application, GRC tooling, risk data and reporting, and collaboration across governance functions.
Ideal Candidate
The ideal candidate is an experienced risk leader with 7+ years in financial services, deep expertise in ERM and GRC tools, and a proven track record of leading teams in risk governance. Strong regulatory awareness and the ability to drive risk reporting and remediation across the First and Second Lines of Defense are essential.
Must-Have Skills
Bachelor's degree or equivalent work experience7+ years of professional experience within financial servicesrisk managementgovernancecomplianceauditor related control functions5+ years of experience related to risk managementbusiness operationsor control executionPrior people leadership experienceDemonstrated experience applying Enterprise Risk Management frameworks within a First Line of DefenseExperience identifyingassessingmanagingand escalating risksincluding issue management and remediation oversightWorking knowledge of GovernanceRiskand Compliance (GRC) tools and risk reporting methodologiesFINRA Series 7 licenseor ability to obtain within 12 months of hire
Nice-to-Have Skills
Advanced degree (MBA or equivalent)Professional risk or finance certifications (CRISCCRCMCPACIAFRM)Direct experience supporting Wealth Managementadvisor-ledor field-based distribution modelsExperience leading or presenting in risk governanceexecutive committeesor regulatory forumsExperience working closely with Second Line of Defense risk functionsKnowledge of regulatory expectations applicable to Wealth Management and Field Management businesses
Required Skills
Enterprise Risk ManagementGRC toolsrisk identificationrisk assessmentrisk monitoringremediationgovernance1st LOD2nd LODdata qualityrisk data reportingstakeholder management
Hard Skills
Enterprise Risk Management (ERM)GRC toolsrisk identificationrisk assessmentrisk monitoringremediationgovernanceFirst Line of Defense (1st LOD)Second Line of Defense (2nd LOD)data qualityrisk data reportingstakeholder management
Soft Skills
LeadershipPeople managementCommunicationCollaborationAnalytical thinkingStrategic thinking
Certifications
Required
FINRA Series 7 licenseor ability to obtain within 12 months of hire
Preferred
MBA or equivalentCRISCCRCMCPACIAFRM
Keywords for Your Resume
risk managementERMgrc toolsfirst line of defensesecond line of defenserisk assessmentrisk monitoringrisk reportinggovernanceregulatory knowledgewealth managementboard collaborationstakeholder managementleadershipteam leadershipfinancial servicesmba preferredbachelor's degreefinancial services riskenterprise risk managementGRC toolsFirst Line of DefenseSecond Line of Defense
Deal Breakers
Need for FINRA Series 7 license within 12 months
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