• Support the compliance and operational risk management program for assigned BD/RIA activities, providing practical risk guidance that supports and informs business objectives.
• Assess and document risks across relevant business activities, including investment advisory processes, brokerage operations, product and securities activities, conflicts of interest, regulatory obligations, client-facing processes, and related control environments.
• Assist in evaluating emerging risks, recurring issues, and control weaknesses to determine matters requiring escalation to Business leaders and Risk Management leadership.
• Leverage data analytics, risk reporting, and business intelligence to assist with trend spotting, identify emerging risk themes, assess the impact of regulatory developments and industry trends, and provide insights that support risk management, business decision-making, and enterprise risk reporting.
• Assist in continuous improvement efforts related to risk management processes, control enhancement initiatives and control testing.
• Support in evaluating risks surfaced from audits, examinations, findings and assessing the effectiveness of the proposed remediation activities.
• Provide support for projects, process changes, and system implementations by evaluating assumptions and dependencies and communicating significant risks to business stakeholders and the Director, Risk Management.
• Help provide coaching, guidance, and risk management expertise to team members and business partners to promote sound decision-making and consistent risk management practices. 

• Bachelor’s degree in finance, Economics, Business Administration, or related field preferred 

• 5-7 years of experience in regulatory compliance, operational risk management, internal auditor related risk functions within the financial services industry. 

• One or more of the following certifications are preferred: FINRA Investment license(s); Insurance license(s); Certified Risk Manager (CRM), Professional Risk Manager (PRM); Financial Risk Manager (FRM); Certified Risk Management Assurance (CRMA); or other relevant certification. 

• Demonstrated ability to build and maintain effective working relationships across all levels of the organization, partnering with business units, control functions, and senior leadership to support risk-informed decision-making and achieve organizational objectives.
• Ability to evaluate risks from an enterprise-wide perspective and identify risk interdependencies across business functions.
• Demonstrated ability of assessing risk, control evaluation, and cross-functional risk identification activities.
• Strongknowledge of financial regulations (e.g., SEC, FINRA) and risk management frameworks.
• Strong analytical, problem-solvingand communication skills, with the ability to translate complex risk concepts into actionable insights.
• Knowledge of information technology terminology, concepts and practices.
• Must consistently ensure corporate financial well-being by appropriately applying company policies, accounting principles, risk management, internal controls, and legal and regulatory requirements.
• Demonstrated ability to operate autonomously, manage competing priorities, and make well-reasoned decisions.  
• Must have effective project management skills.
• Must easily adapt to changes in procedures, workloads, personnel, equipment problems, etc.
• Must use sound judgment in handling confidential and/or sensitive information.
• Knowledge of Salesforce (CRM), Pershing, Microsoft Office365 software. 

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