Wealth Business Unit Risk Specialist II - FINRA

In this role you help strengthen operational risk governance within Wealth Management by driving risk analysis, remediation tracking, and governance activities. You'll coordinate across Compliance, Audit, Legal, and enterprise partners to ensure risk programs stay effective and auditable. You will deliver insights on risk trends and readiness for business initiatives, influencing leadership decisions. This is a chance to shape risk posture in a major financial services firm and contribute to enterprise governance.

• medical, dental, vision, life insurance
• disability benefits
• 401k plan
• vacation and sick days
• paid holidays
• potential additional pension or equity plans

• Assess and communicate risk and governance issues with business ownership
• Execute enterprise risk program requirements and governance activities
• Analyze risk reports and remediation activity to inform governance actions
• Facilitate governance forums and leadership reporting with risk insights
• Partner with ECCO, Compliance, Audit, Legal, and governance partners on remediation and communications
• Prepare readiness for audits, regulatory reviews, and enterprise programs
• Assess enterprise risk program activities including RCSA, issue management, risk monitoring, and remediation tracking
• Analyze incidents and risk trends to identify mitigation opportunities and strengthen governance

• 5+ years in operational risk management, governance, compliance, audit, controls or related fields
• Strong understanding of risk management principles, governance frameworks, issue management, remediation oversight, and monitoring
• Experience supporting enterprise risk programs, governance reporting, audits, or regulatory examinations
• Ability to analyze risks, control concerns, remediation activities, and governance information to support decision-making
• Strong communication, stakeholder engagement, and coordination skills
• Experience preparing governance reporting, operational metrics, KRIs, risk summaries, and management materials
• Ability to manage multiple priorities and coordinate across functions and partners
• Proficiency with Microsoft Office and data analysis techniques

• Strong communication
• Stakeholder engagement
• Coordination
• Microsoft Office applications
• Reporting tools
• Data analysis techniques