Central Review Unit Risk Officer - Wealth Management Client Segment

Key Responsibilities

• Lead the analysis and oversight of core risk controls, including Trade Supervision, Advisory Account activity, and Suitability Reviews
• Serve as a trusted partner to Field Risk leadership, influencing outcomes and driving alignment across the business
• Own relationships with assigned Field Branches, leading recurring risk discussions and providing strategic guidance
• Deliver high-impact reporting and trend analysis, translating complex data into clear, actionable insights
• Identify opportunities to modernize and optimize the control framework, including the integration of AI, automation, and advanced analytics

Qualifications

• Deep expertise in financial markets, securities, and wealth management products, with the ability to assess risk across complex scenarios
• Demonstrated aptitude for artificial intelligence and data-driven risk management, including the ability to apply analytics to enhance surveillance and controls
• Prominent track record of strengthening or transforming risk and control frameworks
• Strong investigative and critical thinking skills, with the ability to independently drive issues from identification through resolution
• Sophisticated understanding of SEC, FINRA, and regulatory expectations within Wealth Management
• Advanced ability to identify trends, root causes, and emerging risks, and to deliver practical, scalable solutions
• Exceptional organizational and prioritization skills, with the ability to manage competing demands without compromising quality
• Advanced technical proficiency, including Excel and data analytics tools
• Experience 3-5 years of experience in risk management, compliance, or supervisory functions within financial services
• Experience with Alternative Investments and complex financial products is strongly preferred
• Demonstrated experience leveraging technology or analytics to enhance risk processes is highly desirable

Education

• Bachelor’s degree or equivalent experience required

Licenses & Registrations

• Active Series 7 & 66 (or 65 and 63) required
• Series 9 and 10 (or 8) preferred, or ability to obtain within 60 days of hire

Additional Requirements

• Authorization to work in the U.S. without restrictions
• Successful completion of all applicable pre-employment requirements