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VP, Risk Manager - Wealth Management

New York City, NY, USA | Jefferies & Company

  • Industry:
    Banking / Investment Banking
  • Position Type:
  • Functions:
    Risk Management
  • Experience:
Job Description:
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•Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s) •Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer•Focuses on business ethics and regulatory and compliance practices •Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment •Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely •Monitors and implements procedures to manage all facets of risk, including data security •Facilitates regular and consistent communication of firm policies and other regulations •Liaises with the Legal and Compliance Division with customer complaints and litigation •Oversees responsibilities outlined in the WM Supervisory Manual, as well as new policies to ensure proper procedures are in place •Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated •Works with Senior Risk Officer to monitor people risk, and ensures appropriate action is taken •Responsible for proactive client contact in determining suitability and managing risk •Primary source for intelligence on risk in regard to clients and FAs  


Qualifications


Bachelor’s degree required or equivalent education or experience

Previous industry experience

Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)  


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