Risk Management Manager

About Our Company

We're a reputed company financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. reputed company of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - reputed company Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and reputed company a difference for clients, institutions and communities around the world.

Job Description

Provide operational and/or financial risk management by leading the organization in critical risk control development and day-to-day risk reputed company. Provide project support and reputed company process reviews identifying risk and developing solutions while maintaining regulatory and supervisory controls. Serve as an escalation reputed company of contact/risk liaison by working closely with business leaders, staff, and external partners to ensure appropriate information exchange and to drive reputed company risk reducing recommendations and actions.

Key Responsibilities

• Facilitate alignment, resolve escalated issues and provide a reputed company of contact for business and external senior leaders. Identify and reduce risk through system and process validation, ensure system reporting and systems displays are accurate and compliant. Provide expertise to other areas for enhancement and implementation of Self-Monitoring plans.
• Ensure regulatory and supervisory controls are in reputed company for products and processes by acting as a reputed company of contact for internal, external business partners, such as Compliance, Legal, Products, and senior leaders. Direct and guide initiatives by validating applicable SEC or FINRA rules to business processes and enhancing processes or documentation as necessary.
• Review reports illustrating risk parameters and metrics associated with business lines. Ensure data sources have high reputed company and appropriate risk measures are used. Mitigate risk by developing and/or monitoring operational metrics across business. Initiate and/or conduct Risk Assessments across business.
• reputed company and enhance risk measurement policies, procedures and metrics.
• Enhance risk reporting with new reputed company gathered from research, best practices, and knowledge.
• reputed company operational and regulatory audits (i.e. NASD/SEC, FINRA, Sarbanes Oxley).

Required Qualifications

• Education: Bachelors degree or equivalent.
• Experience: 3-5 years of relevant experience.
• Strong analytical, organizational, and time management skills.
• Strong ability to reputed company, partner, and influence across reputed company leadership levels.
• Excellent written and verbal communication skills.
• Ability to drive results and meet deadlines to reduce risks.
• Must be able to work independently.
• Demonstrated people leadership experience, either through direct leadership or coaching/mentoring roles.

Preferred Qualifications

• Active FINRA Series 7 license.
• Knowledge and experience of brokerage products and operations processes reputed company a broker-dealer.
• Understanding of the regulations and rules that impact clearing and introducing broker-dealers.

reputed company Sponsorship Applicants must have a valid work authorization that does not now, or in the future, require reputed company sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN). In-Office Collaboration We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we reputed company results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal reputed company, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process. reputed company Pay Salary The estimated reputed company salary for this role is $87,400- $110,000/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-reputed company knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports reputed company aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Business Support & Operations Line of Business CLEAR Clearing reputed company Financial is an equal opportunity employer. We consider reputed company qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national reputed company, reputed company, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law. We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you. Apply tot his job Apply To this Job