CRU Risk Lead - Wealth Management Compliance
PowerToFly
14 days+
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Job summary
A financial services firm located in Utah is seeking a qualified candidate for a role focused on risk management within Wealth Management. The ideal applicant should have 5-10 years of industry experience, strong problem-solving skills, and proficiency in compliance. Responsibilities include conducting risk analyses, facilitating communication with branches, and providing reporting on findings. The position requires an active Series 7 & 66 and advocates a proactive approach to risk mitigation.
Qualifications
- 5-10 years of industry experience, focused on risk or compliance.
- Advanced understanding of Alternative Investments and complex products is advantageous.
- Active Series 7 & 66 required; Series 9 and 10 preferred.
Responsibilities
- Conduct thorough analyses of various risk controls.
- Serve as the primary contact for Field Risk.
- Lead monthly calls with the Field Branches.
- Deliver detailed reporting and trend analysis based on risk reviews.
- Act as an escalation point for issues from the field.
Skills
Investigative skills
Problem-solving skills
Communication skills
Organizational skills
Technological proficiency
Analytical skills
Education
Bachelor’s degree or equivalent work experience
Tools
Excel
Data analytics tools
Job description
A financial services firm located in Utah is seeking a qualified candidate for a role focused on risk management within Wealth Management. The ideal applicant should have 5-10 years of industry experience, strong problem-solving skills, and proficiency in compliance. Responsibilities include conducting risk analyses, facilitating communication with branches, and providing reporting on findings. The position requires an active Series 7 & 66 and advocates a proactive approach to risk mitigation.
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