Private Wealth Risk Officer

Responsibilities

• Implement a risk oversight framework to monitor and assess risk for our Private Wealth business
• Lead and support strategic risk initiatives across Private Wealth areas to improve business functions and reduce risk
• Identify new areas for improvement, uncover underappreciated risks
• Create and curate risk dashboards to measure and track relevant risk factors
• Present to the risk management team, business heads and senior management on risk management efforts and initiatives
• Aid with a new buildout of Investment Risk technology infrastructure for investment risk oversight
• Utilize our Error and Incident Tracking System to diagnose thematic risks and develop proactive controls and solutions
• Partner with compliance, legal, operations, portfolio management, sales, fund accounting, and other groups to establish a robust control environment
• Complete Risk Reviews for at-risk business processes, groups or business units

Qualifications

• Bachelor’s degree
• 5-10 years relevant work experience, preferably with operational risk or process management
• Strong project management skills
• Highly analytical with a strong attention to detail
• Superior communication and interpersonal skills in order to elicit consensus from senior managers and colleagues in the firm
• Self-starter with the ability to work both independently and as part of a team
• Intermediate level understanding of the financial markets
• FINRA regulatory experience
• Series 24 preferred

About AB

We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 57 locations operating in 26 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world.

What We're Looking For

Bachelor’s degree
5-10 years relevant work experience, preferably with operational risk or process management
Strong project management skills
Highly analytical with a strong attention to detail
Superior communication and interpersonal skills in order to elicit consensus from senior managers and colleagues in the firm
Self-starter with the ability to work both independently and as part of a team
Intermediate level understanding of the financial markets
FINRA regulatory experience
Series 24 preferred

Pay

In accordance with applicable law, the minimum and maximum base annual salary for this role is as follows: $110,000 - $130,000. Actual base salaries may vary based on factors including but not limited to education, training, experience, past performance, and other job-related factors.