Investment Risk Officer

About the role

We are seeking a Compliance Officer to join the 1st Line of Defense (1LOD) in the Wealth Management Risk department and work in close partnership with the Chief Investment Office (CIO).

Responsibilities

• Develop, refine, and operationalize a comprehensive investment risk framework for CIO activities.
• Define KRIs/KPIs across exposures, factor risks, concentrations, liquidity, derivatives use, guideline adherence, and operational themes.
• Establish documentation standards and monitoring expectations for CIO-owned processes.
• Enablement of IDD/ODD performed by CIO.
• Document investment processes, controls, and oversight routines for RCSAs, audits, and regulatory needs.
• Coordinate issue logs, exceptions, and remediation plans from CIO-owned processes.
• Ensure governance forums receive clear, consistent risk reporting.
• Build dashboards that highlight CIO risk exposures, trends, outliers, and high-impact themes for review by leadership.
• Support ad-hoc risk analyses in response to market events, strategy changes, or committee requests.
• Sit with the CIO team to understand their workflows and ensure the risk framework is practical and adopted.
• Facilitate feedback loops, training, and communication to strengthen a risk-aware culture.
• Act as the primary 1LOD point of coordination with 2LOD Compliance, ERM, and other control partners to ensure alignment, transparency, and efficient handoffs.

Requirements

• Bachelor’s degree in finance, Economics, Accounting, Mathematics, Statistics, or a related field (preferred).
• A minimum of 3 years in portfolio management, investment research, or investment risk; familiarity with IDD/ODD concepts strongly preferred.
• Demonstrated ability to work independently and collaboratively in a regulatory environment (required).

Qualifications

• CFA, CAIA, or CFIRS, or FRM preferred or in progress.

Skills

• Understanding and applying laws and regulations relevant to banking and consumer finance.
• Evaluating potential risks and identifying control gaps in processes and systems.
• Conducting ongoing reviews to ensure adherence to compliance standards.
• Performing independent evaluations of controls and procedures to ensure regulatory alignment.
• Ensuring lending practices meet fair lending laws and guidelines.
• Identifying and mitigating risks that could disrupt business operations.
• Using analytical tools to interpret data and uncover compliance issues or trends.
• Assessing internal policies for consistency with current regulations.
• Documenting findings and communicating risks through clear, concise reports.
• Building strong relationships across departments to support compliance initiatives.
• Leading compliance-related projects and mentoring junior analysts.
• Applying sound judgment in evaluating complex compliance scenarios.
• Clearly conveying compliance requirements and findings to diverse audiences.
• Staying current with regulatory changes and industry best practices.
• Designing effective solutions to address compliance challenges.

Benefits

This position is eligible to earn a base salary in the range of $71,000.00 - $125,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.

Please click here for a list of benefits for which this position is eligible.

Pay

This position is eligible to earn a base salary in the range of $71,000.00 - $125,000.00 annually.

Schedule

This position is eligible to work a hybrid schedule with 3+ days in the office.