Senior Manager First Line Risk Management Office Governance

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Senior Manager, First Line Risk Management Office, Governance
The candidate will understand and opine on the process of creation, review, update, and implementation of disclosures, such as research, product, bank, account statements and confirms. Actively seek challenging engagements, assembling the appropriate resources and business partners required to drive timely and informed decision-making. Ability to quickly earn the trust of sponsors and key stakeholders; drive the implementation of initiatives; resolve conflict; and execute with limited information and ambiguity. Ability to identify, solve and escalate problems as needed. Support leadership proactively and tackle urgent issues. Know when to escalate issues and get leadership involved. Accurately summarizes and presents information in a comprehensive and compelling manner. Display accountability for driving work product and outcomes, while acknowledging the contributions of others to successful results. Can work in both a strategic and executional capacity with ability to prioritize effectively and manage stakeholders in a fast-paced and matrixed environment. Manage the implementation and ongoing maintenance of the Regulatory Disclosure Management Committee. In collaboration with Second Line of Defense colleagues, develop policies, standards, and guidelines to be followed for the ongoing maintenance and effectiveness of the Disclosure Management Compliance program. Use all available tools/resources to recommend and implement enhancements and efficiencies that improve overall effectiveness of the program . Carry out other duties as assigned, including, but not limited to project work, governance efforts, and policy governance. Apply strong business judgment and critical thinking in finding opportunities for improvement or compromise, and then developing and implementing solutions. Help guide people through uncertainty; balancing multiple and potentially conflicting priorities; identifying and handling sophisticated dependencies. Work with business partners and other leaders to synchronize work, align on goals, and make trade-off decisions. Handle scope to ensure commitments are achieved within agreed upon time and escalate appropriately when risks, significant issues, or challenges arise. Communicate effectively with all levels of the organization. Identify key partners and stakeholders and collaborate across business lines and with various functional teams to meet overall strategic objectives. Embrace open debate with the team and business partners to manage projects, solve problems, discuss challenging issues, or learn more about critical issues. Negotiate with a genuine give-and-take approach, acting as a true peer when decisions are shared. Build and maintain partnerships with business line and functional team leaders throughout the company. Minimum 7+ years related work experience that includes risk management responsibilities or disclosure management, preferably in a diversified financial services environment. Additionally, experience working in business units or directly with business units. Complementary experience in consulting or a regulatory agency is also desirable. Strong experience with and knowledge of the Investments Advisers Act of 1940 and broker-dealer rules and their implementation. Up-to-date knowledge of recent regulatory developments particularly around issues concerning disclosure obligations. Strong understanding of retail, advisory and brokerage products/services. Banking experience a plus. Strong project management skills and the ability to coordinate, prioritize and process large amounts of data/information. Ability to motivate colleagues to get things done effectively; is sought out for counsel and feedback and contributes to cross-functional teams and initiatives. Ability to think creatively to streamline or reimagine existing processes. Ability to influence and drive a vision while being mindful of stakeholders’ needs and requirements. FINRA 7 and 24 preferred, Bachelor’s degree, JD preferred.

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