Senior Risk Analyst (Investing/Insuring)

First Command; Fort Worth, Northern (TX, KY); Hybrid; USD 95,000 - 130,000; Full time

Job summary

First Command in Fort Worth, TX is seeking a Senior Risk Analyst to support the Compliance and Operational Risk Management Program for its BD/RIA activities. You will identify, assess, monitor, and report regulatory risks while partnering with leaders to strengthen risk controls across advisory and brokerage operations.

The role requires 5–7 years in risk-related functions, a finance/economics/business degree, and professional certifications (CRM/PRM/FRM/CRMA or FINRA licenses preferred).

Qualifications

• Bachelor's degree in finance, economics, business administration, or related field preferred.
• 5-7 years of experience in regulatory compliance, operational risk management, internal audit or related risk functions.
• Certifications such as FINRA Investment license(s), Insurance license(s) or CRM/PRM/FRM/CRMA preferred.

Responsibilities

• 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 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 and enterprise risk reporting.
• Assist in continuous improvement efforts related to risk management processes, control enhancements, and testing; support evaluations from audits and examinations.

Skills

Regulatory knowledge

Analytical thinking

Communication skills

Risk assessment

Project management

Education

Bachelor's degree in finance, Economics, Business Administration, or related field

Certifications: CRM/PRM/FRM/CRMA or FINRA licenses (preferred)

Tools

Salesforce CRM

Pershing

Office 365

Job description

Job Location

Fort Worth, TX

Tracking Code

500007 EX 10

Position Type

Full-Time/Regular

How will this role impact First Command?

Reporting to the Director, Risk Management, the Senior Risk Analyst ( Investing/Insuring ) supports the Compliance and Operational Risk Management Program for First Command Financial Services, Inc and its subsidiaries . The role serves as a risk advisor and subject matter expert for assigned business activities , partnering with leaders to identify , assess, monitor, and report operational and regulatory risks; evaluate control effectiveness; and provide independent challenge to strengthen risk management practices. The Senior Risk Analyst develops risk insights, emerging risk themes, and escalation recommendations that support sound business decision-making and inform oversight, reporting, and governance across advisor supervision, investment advisory processes, brokerage operations, securities activities, conflicts of interest, regulatory examinations, client-facing processes, and related control environments.

What will the employee do in this role?

• 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.

What skills and qualifications does this employee need?

Education

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

Work Experience

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

Certifications

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.

Required Knowledge, Skills and Abilities

• 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 a ss essing risk, control evaluation , and cross-functional risk identification activities.
• Strong knowledge of financial regulations (e.g., SEC, FINRA) and risk management frameworks .
• Strong analytical , problem- solving and communication skills, with the ability to translate complex risk concepts into actionable insights.
• K nowledge 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.
• K nowledge of Salesforce (CRM), Pershing, Microsoft Office365 software.

First Command does not discriminate in the recruiting of Financial Advisors onthe basis of race, color, religion, national origin, sex, marital status,disability, age or veteran status. No information solicited by First Commandfrom you is intended to be used in a discriminatory manner. All informationprovided by you will be reviewed carefully, but the receipt of an Advisorapplication or other information does not imply that you will be offered theopportunity to enter into a Financial Advisor/Agent Agreement with FirstCommand.