Broker-Dealer Operations Specialist
Guardian Life
Senior Director, Wealth CIO Operations – Execution
TIAA
full-time
Posted on:
Location Type: Hybrid
Location: Frisco • New York, North Carolina, Texas • 🇺🇸 United States
Visit company websiteSalary
💰 $151,100 - $200,000 per year
Job Level
Senior
About the role
- Work with investment leaders in PAM and IMG to implement and monitor investment through oversight routines, maintain risk management metrics, identify breaches for the PAM business and work with SMEs to address.
- Analyzing books for outliers and trends in behavior.
- Perform statistical analysis of investment risk data to create reporting frameworks that track exposure levels, identify trends, and inform risk strategy.
- Maintain Risk & Control inventory
- Act as primary liaison with Business Controls, Compliance / Risk / Audit functions
- Management of audit / oversight needs
- Respond to requests and service BAU needs of LRC, auditors, and oversight bodies
- Coordinate with CIO leaders and LRC and business partners to prepare materials for Investment Committees and other oversight bodies.
- Create agenda in coordination with CIO and other leaders and represent business on projects, committees and board meetings as needed including running committee meetings.
- Centralizing, adherence, quality control on documentation expectations.
- Maintaining up to date SOPs and procedures.
- Research and identify root causes of issues, gaps in practice management routines. Partner with peers to resolve.
- Train staff, as needed and create awareness of risk, compliance, and regulatory expectations.
Requirements
- 5+ years of risk management experience in wealth management, trust and/or brokerage as well as product development and management.
- Experience in wealth and broker/dealer risk management.
- Experience working closely with legal, compliance and internal audit.
- University degree
- Significant risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant.
- Compliance experience in these areas would also be beneficial.
- Deep knowledge of wealth, trust and retail brokerage businesses.
- A self-starter with excellent interpersonal, organizational, and leadership skills.
- Prior experience working directly with regulators, such as the OCC, SEC, FINRA- Ability to identify and implement effective risk assessment processes, models, and systems in line with corporate guidelines.
- Ability to adapt to and initiate change.
- Ability to assist in optimizing risk-taking to achieve business results.
- Demonstrated ability to work collaboratively with cross functional groups and support senior management.
- Ability to evaluate appropriate fund selection for specific platforms and manager/fund selection process.
- Ability to review, analyze, and explain fixed income and equity risk reports and identify investment performance attributes.
- Familiarity with risk identification and mitigation techniques and strategies.
- A highly collaborative business partner who can effectively manage and influence relationships that are widely dispersed both functionally and geographically.
Benefits
- superior retirement program
- highly competitive health, wellness and work life offerings
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
risk managementstatistical analysisrisk assessment processesinvestment risk data analysiscomplianceaudit managementSOPs maintenancefixed income analysisequity risk analysisrisk identification techniques
Soft skills
interpersonal skillsorganizational skillsleadership skillscollaborationcommunicationproblem-solvingadaptabilityself-starterinfluence managementtraining
