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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in risk management, operational accountability, and governance within the financial sector, with a strong focus on compliance and regulatory requirements. Proficient in analyzing risk trends and developing insights to support leadership decisions and operational oversight.
Highest-signal resume keywords
Risk ManagementGovernance AccountabilityCompliance ExperienceLeadership SkillsFinancial Institution Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk AssessmentOperational Risk MitigationKRI AnalysisRCSARemediation TrackingRisk ReportingIncident AnalysisProcess EvaluationGovernance CoordinationAudit Preparation
Soft Skills
Communication SkillsInterpersonal SkillsPresentation SkillsNegotiation SkillsTime Management
Tools & Technologies
Microsoft Office
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA Series 53FINRA Series 66FINRA Series 9&10FINRA Series 63&65
Industry Keywords
Wealth ManagementOperational AccountabilityRegulatory ComplianceEnterprise Risk ProgramStakeholder Engagement
About the role
Key responsibilities & impact- Assess, evaluate, and communicate risk and governance issues
- Promote business ownership of risk and operational accountability through stakeholder engagement
- Execute enterprise risk program requirements and governance activities across Wealth Management
- Assess, monitor, and escalate operational, control, and regulatory concerns
- Analyze and interpret KRIs, risk reporting, and remediation activity
- Coordinate governance actions and commitments
- Facilitate governance forums, escalations, and committee activities
- Develop reporting and risk insights to inform leadership decisions and operational oversight
- Partner with ECCO, Compliance, Audit, Legal, and enterprise governance partners
- Prepare audit, regulatory, and enterprise review readiness
- Support operational readiness activities for business initiatives, governance requirements, and enterprise programs
- Assess enterprise risk program activities, including RCSA, issue management, risk monitoring, and remediation tracking
- Analyze incidents and risk trends
- Assess remediation effectiveness and evaluate process weaknesses
- Identify risk mitigation opportunities and strengthen governance outcomes
Requirements
What you’ll need- Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training
- 5+ years of experience in a financial institution with emphasis on risk management or equivalent work experience and training, and/or equivalent education, training and experience
- Experience in compliance and operational risk mitigation and remediation
- Strong communication, interpersonal, presentation and negotiation skills
- Proven leadership and management skills
- Strong time management and organizational skills adaptable to a dynamic and complex work environment
- Ability to handle multiple projects concurrently
- Proficiency in basic computer applications, such as Microsoft Office software products
- Ability to travel, occasionally overnight
- FINRA Series 7, 24, 53, and 66 licenses strongly preferred; Series 9&10 may be used in lieu of Series 53, and Series 63&65 may be used in lieu of Series 66
- Previous experience in a similar role covering Wealth Management preferred
Benefits
Comp & perks- Medical insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- Accidental death and dismemberment coverage
- Tax-preferred savings accounts
- 401k plan
- At least 10 days of vacation during the first year of employment, prorated as applicable
- 10 sick days, prorated as applicable
- Paid holidays
- Defined benefit pension plan, depending on position and division
- Restricted stock units, depending on position and division
- Deferred compensation plan, depending on position and division