CRU Risk Lead - Wealth Management Compliance

PowerToFly; South Jordan (UT); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

Comprehensive employee benefits

Opportunities for career advancement

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.